[Federal Register Volume 68, Number 232 (Wednesday, December 3, 2003)]
[Rules and Regulations]
[Pages 67746-67773]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-29597]



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Part II





Department of Transportation





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Research and Special Programs Administration



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49 CFR Part 171



Hazardous Materials: Revisions to Incident Reporting Requirements and 
the Hazardous Materials Incident Report Form; Final Rule

  Federal Register / Vol. 68, No. 232 / Wednesday, December 3, 2003 / 
Rules and Regulations  

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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

49 CFR Part 171

[Docket No. RSPA-99-5013 (HM-229)]
RIN 2137-AD21


Hazardous Materials: Revisions to Incident Reporting Requirements 
and the Hazardous Materials Incident Report Form

AGENCY: Research and Special Programs Administration, DOT.

ACTION: Final rule.

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SUMMARY: RSPA is revising the incident reporting requirements of the 
Hazardous Materials Regulations and the hazardous materials incident 
report form, DOT Form F 5800.1. The major changes adopted in this final 
rule include: Collecting more specific information on the incident 
reporting form; expanding reporting exceptions; expanding reporting 
requirements to persons other than carriers; reporting undeclared 
shipments of hazardous materials; and reporting non-release incidents 
involving cargo tanks. These revisions will assure an increase in the 
usefulness of data collected for risk analysis and management by 
government and industry and, where possible, provide relief from 
regulatory requirements.

DATES: Effective Date: This final rule is effective July 1, 2004.
    Compliance Date: Only the revised DOT Form F 5800.1 (01-2004) 
specified in this final rule will be accepted for incidents occurring 
on, or after July 1, 2004. Filers must use the previous DOT Form F 
5800.1 (Rev 6/89) form for all incidents up to, and including June 30, 
2004.

FOR FURTHER INFORMATION CONTACT: T. Glenn Foster, (202) 366-8553, 
Office of Hazardous Materials Standards, Research and Special Programs 
Administration or Kevin Coburn, (202) 366-4555, Office of Hazardous 
Materials Planning & Analysis, Research and Special Programs 
Administration.

SUPPLEMENTARY INFORMATION:

List of Topics

I. Background
II. Current Requirements
III. Summary of Issues, Comments and Changes
    A. Electronic Filing
    B. Revisions to the Form
    C. One-Call Reporting
    D. Expansion of Reporting Requirements to Persons Other Than 
Carriers
    E. Exceptions to Incident Reporting
    F. Criteria for Telephonic Notification
    G. Updates to Reports
    H. Reporting When No Hazardous Material is Released During an 
Incident

I. Undeclared Shipments of Hazardous Materials That Do Not Result in a 
Release

    J. Notifying Shippers of Incidents
IV. Summary and Conclusion
V. Regulatory Analyses and Notices
    A. Executive Order 12866 and DOT Regulatory Policies and 
Procedures
    B. Executive Order 13132
    C. Executive Order 13175
    D. Executive Order 13272
    E. Regulatory Flexibility Act
    F. Paperwork Reduction Act
    G. Regulation Identification Number (RIN)
    H. Unfunded Mandates Reform Act
    I. Environmental Assessment

I. Background

    Quality data that supports causal, trend, and risk analysis is 
fundamental to an effective safety program. The importance of data to 
the hazardous materials transportation safety program was highlighted 
in both a Department-wide initiative (ONE DOT Flagship Initiative on 
Hazardous Materials Handling/Incidents; ``HazMat Flagship'') which 
began in 1999 and a Department-wide Hazardous Materials Program 
Evaluation (HMPE) completed in 2000. The HazMat Flagship Initiative 
identified a set of new and ongoing actions relating to hazardous 
materials transportation that have the greatest potential impact on 
safety and program operation and that benefit from a cooperative 
approach. The HMPE used a multi-modal team to conduct a Department-wide 
program evaluation to document and assess the effectiveness of the 
Department's hazardous materials transportation safety program. The 
team's final report can be found at: http://hazmat.dot.gov/hmpe.htm.
    Both the HazMat Flagship initiative and the HMPE emphasized the 
need to obtain more accurate and complete data on incidents. The 
hazardous materials transportation safety program relies on DOT Form F 
5800.1, Hazardous Materials Incident Report, to gather basic 
information on incidents that occur during transportation and that meet 
specified criteria in Sec.  171.16 of the Hazardous Materials 
Regulations (HMR; 49 CFR Parts 171-180). The Research and Special 
Programs Administration (RSPA, we) last revised this form in 1989. In 
2001, we received approximately 17,500 incident reports. RSPA uses the 
data and information reported by carriers to:
    [sbull] Evaluate the effectiveness of the existing regulations;
    [sbull] Determine the need for regulatory changes to cover changing 
transportation safety problems; and
    [sbull] Identify major problem areas that should receive priority 
attention.
    In addition, both government and industry use this information to 
chart trends, identify problems and training inadequacies, evaluate 
packagings, and assess ways to reduce releases.
    Although the current incident report form provides useful 
information and is generally recognized as being fundamentally sound, 
there is room for improvement. We believe the opportunity exists to 
obtain better, more detailed information on events, such as more 
descriptive information to help determine root causes of events; to 
offer better linkages so that data can be coupled; and to better 
structure the report form to facilitate complete and accurate 
responses.
    Our experience using data generated by the current form has 
identified certain deficiencies. Rulemakings such as Docket HM-225A, 
``Revision to Regulations Governing Transportation and Unloading of 
Liquefied Compressed Gases,'' and Docket HM-213B, ``Safety Requirements 
for External Product Piping on Cargo Tanks Transporting Flammable 
Liquids,'' have demonstrated the difficulties involved with using DOT 
Form F 5800.1 data to determine precise failure modes and causes. These 
rulemakings also underscore the unreliability of reported incident cost 
information and the need to update this and other data as better 
information becomes available after initial submission of the form.
    A study performed by the Argonne National Laboratory and the 
University of Illinois (National Risk Assessment for Selected Hazardous 
Materials Transportation) for RSPA used incident data as a basic input 
into the study, and recommended changes in a number of areas of 
incident data collection. Also, risk practitioners in government and 
industry offered suggestions for improved reporting of incident data in 
a white paper produced under the auspices of the Transportation 
Research Board.
    The National Transportation Safety Board (NTSB) has issued several 
recommendations related to data collection and processing identified 
during the course of their investigations:
    (1) NTSB Recommendation H-92-6 suggests establishment of a program 
to collect information necessary to identify patterns of cargo tank 
equipment failures, including the reporting of all accidents involving 
a DOT specification cargo tank, with or without a release of hazardous 
materials.
    (2) NTSB recommendation R-89-52 suggests implementing regulations 
to ensure that there is formal feedback

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from carriers to shippers when an incident has occurred.
    (3) NTSB recommendation H-99-58 asks RSPA to establish a specific 
time period for reporting incidents meeting criteria in Sec.  171.15 
(telephonic notification).
    Undeclared hazardous materials shipments, particularly in the air 
mode, are a serious safety concern within the Department. This issue 
received significant attention in the HazMat Flagship, and was 
recognized by the HMPE as an important area where better understanding 
of the frequency and impact of such shipments is essential. Data 
obtained through reporting discoveries of such shipments, whether or 
not the material is released, can help in defining the extent of the 
problem and in developing programs to mitigate the risk involved. DOT 
Form F 5800.1 is an efficient way to collect this data. Such data, even 
though it represents only undeclared hazardous materials that are 
discovered rather than the full spectrum of undeclared hazardous 
material shipments, can play a significant role in monitoring trends 
and measuring the effects of efforts to reduce undeclared shipments.
    We are cognizant of the burden often imposed by regulatory 
requirements. As we developed changes to the incident reporting 
requirements, we attempted to minimize any additional burden associated 
with the revised requirements. For instance, we are adding exceptions 
to reporting requirements for small releases of materials that pose the 
least hazard where sufficient data already exists to manage risk. 
Further, we have deleted certain data fields that ask for information 
that is obtainable from other sources, for example, land use at the 
incident site. In addition, we are allowing electronic submission of 
the form, such as through an internet-based form or through a bulk data 
transfer, in order to facilitate the process. An internet-based form 
will ask only the questions the reporter is required to complete, based 
on previous answers. Accepting the data through a bulk file transfer 
allows larger companies to configure reporting software for their 
particular operations, maintain the information electronically, and 
eliminate paper and postage.
    As a result of a meeting between DOT and members of several trade 
associations concerning hazardous materials incident reporting, the 
Association of American Railroads (AAR) sponsored a workgroup with 
segments of the transportation community to discuss the DOT Form F 
5800.1 and the reporting requirements of Sec. Sec.  171.15 and 171.16. 
The workgroup meetings were held during the winter of 1997-98. 
Participants included representatives from all four transportation 
modes, RSPA, shippers, container manufacturers, and labor. The 
workgroup submitted recommendations to RSPA. We developed questions 
based on input from these meetings, the DOT modal agencies, other 
concerned individuals, and on our own initiative.
    On March 23, 1999, we published an advance notice of proposed 
rulemaking (ANPRM; 64 FR 13943) that asked a series of questions 
regarding the need to change current reporting requirements or the 
incident report form. We received approximately 40 comments from 
industry associations, State and local governments, non-profit 
associations, and carriers. Based on these comments, we developed 
proposed regulatory language and published a notice of proposed 
rulemaking (NPRM; 66 FR 35155) on July 3, 2001. We identified ten 
general issues in the NPRM, which are reviewed in Section III of this 
document. RSPA received over 30 comments on the NPRM. RSPA's decisions 
on the proposals of the NPRM and review of these comments are discussed 
in Section III, below.

II. Current Requirements

    Currently, Sec.  171.15 requires carriers to immediately notify the 
National Response Center (NRC) after any incident that occurs during 
transportation in which, as a direct result of hazardous materials:
    (1) A person is killed;
    (2) A person receives injuries requiring his or her 
hospitalization;
    (3) Estimated carrier or other property damage exceeds $50,000;
    (4) An evacuation of the general public occurs lasting one or more 
hours;
    (5) One or more major transportation arteries or facilities are 
closed or shut down for one hour or more;
    (6) The operational flight pattern or routine of an aircraft is 
altered;
    (7) Fire, breakage, spillage, or suspected contamination occurs 
involving shipments of radioactive material or infectious substances 
(etiologic agents);
    (8) There has been a release of a marine pollutant in a quantity 
exceeding 450 L (119 gallons) for liquids or 400 kg (882 pounds) for 
solids; or
    (9) A situation exists of such a nature (e.g., a continuing danger 
to life exists at the scene of the incident) that, in the judgment of 
the carrier, it should be reported to the National Response Center even 
though it does not meet any other immediate notification criteria. 
Carriers may report any of these incidents involving aircraft to the 
Federal Aviation Administration (FAA) Security Field Office. In 
addition, certain incidents involving infectious substances must be 
reported to the Centers for Disease Control and Prevention (CDC).
    Each carrier required to make a report under Sec.  171.15 is also 
required to complete DOT Form F 5800.1 in accordance with Sec.  171.16. 
Additionally, unless excepted, a carrier is required to submit DOT Form 
F 5800.1 for any incident occurring during transportation that results 
in an unintentional release of a hazardous material from its package or 
the discharge of any quantity of hazardous waste.
    We use the data and information reported by carriers to:
    (1) Evaluate the effectiveness of the existing regulations;
    (2) Determine the need for regulatory changes to cover changing 
transportation safety problems; and
    (3) Identify major problem areas that should receive priority 
attention. In addition, both government and industry use this 
information to chart trends, identify problems and training 
inadequacies, evaluate packagings, and assess ways to reduce releases.
    In considering how to improve the incident report form, our primary 
objective was to ensure that useful information is collected in an 
efficient manner. We believe it is possible to improve the structure 
and format of the form to make it easier to understand and complete. To 
reduce the reporting burden on persons responsible for completing the 
incident report, we believe certain existing fields that ask for 
information that is obtainable from other sources can be deleted. We 
also believe it is appropriate to add information in certain areas 
where it can help determine future program direction and support 
measures of program effectiveness. For example, a good description of 
packaging performance, documenting both failures and successes, helps 
us define future requirements. In addition, undeclared hazardous 
materials is an area of significant safety concern to DOT, and the 
ability to identify the frequency and source of such shipments is an 
important factor in reducing their occurrence. A complete description 
of changes to the content of the form is provided in the following 
sections.

III. Summary of Issues, Comments and Changes

    In the NPRM, RSPA proposed changes on the following ten issues. In 
this final rule, we discuss comments submitted to the docket, concerns 
raised by

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commenters, and our decisions on each issue below:
    (A) Electronic filing
    (B) Revisions to the form
    (C) One-call reporting
    (D) Expansion of reporting requirements to persons other than 
carriers
    (E) Exceptions to incident reporting
    (F) Criteria for telephonic notification
    (G) Updates to reports
    (H) Reporting when no hazardous material is released during an 
incident
    (I) Undeclared shipments of hazardous materials that do not result 
in a release
    (J) Notifying shippers of incidents.

A. Electronic Filing

    In the NPRM, we proposed to adopt a variety of electronic filing 
methods, including facsimile (fax), electronic mail (e-mail), and 
internet-based forms. Electronic filing of incident reports is 
consistent with the requirements of the Government Paperwork 
Elimination Act (GPEA), which generally mandates that, by October 2003, 
agencies accept electronic documents and electronic signatures for the 
transactions that they conduct with the public and regulated parties.
    All commenters support an electronic filing option. Commenters 
state that fax, e-mail, and internet submissions should be available to 
facilitate reporting. However, some commenters also state that 
electronic filing should be optional rather than mandatory.
    We agree that electronic filing of incident reports would reduce 
the reporting burden on industry and increase reporting flexibility. 
However, because of logistical obstacles, all means of electronic 
filing will not be immediately available. We are in the process of 
developing the capability to allow electronic submission of the form 
and bulk transfer, and will issue an advisory notification upon 
completion. Although initial systems available to receive electronic 
submissions are limited, they will be expanded in the future as new 
systems are implemented within the Department or as new technologies 
become available.
    We will continue to accept filing of a paper form, but we will not 
require the reporter to submit duplicate copies of the form. In 
addition, we have revised language in the regulations concerning the 
retention of the report in order to facilitate electronic storage. We 
have removed the provision requiring approval from the Department of 
Transportation to retain copies at a location other than the reporter's 
principal place of business. Instead, we allow the reporter to store 
the report at a location other than the principal place of business if 
the report is available to the reporter's principal place of business 
24 hours after a request by a representative of the Department. Often, 
electronic documents may be stored on a computer server that is not 
physically located at the person's place of business. Additionally, the 
storage location is not of paramount concern, provided the document can 
be produced in the specified time. This change allows more flexibility 
for storing electronic and physical copies of the reports.

B. Revisions to the Form

    The proposed modifications to the data form were published in the 
Federal Register in a notice of proposed rulemaking (NPRM). These 
proposed modifications introduced new and revised data elements in the 
form. These revisions are intended to minimize burdens on the end user, 
while necessitating that the form be completed accurately.
    As a result of these new requirements, as well as RSPA's intent to 
maximize the accuracy and completeness of the forms we receive, RSPA 
procured the services of the QED Group, LLC (QED) of Washington, DC to 
recruit both experienced and non-experienced users of the previous form 
to test the form proposed in the NPRM. QED convened a series of focus 
groups to provide RSPA with constructive feedback on the revised form.
    The first focus group meeting took place on October 25, 2002, with 
a morning session attended by ten experienced filers and an afternoon 
session attended by four less experienced filers. Neither group 
indicated that major revisions to the layout of the draft form were 
necessary. However, we derived the following observations from this 
meeting:
    [sbull] The form layout should be more compact than the version in 
the NPRM, but attention should still be paid to font size.
    [sbull] The form should avoid the use of shaded regions, as these 
interfere with faxing.
    [sbull] The form should explicitly identify the form and/or series 
number of the accompanying instructions, as well as URL information for 
instructions available online.
    [sbull] Any such online instructions should contain links to the 
sections of the CFR cited, and should also contain links to 
definitions.
    [sbull] There were no major issues or concerns with the graphics or 
other visual cues.
    [sbull] Infrequent filers were concerned that the conditions for 
form filing were not presented all in one place. They suggested a 
different grouping of instructions, something along the lines of a 
``Who--Why--When?'' section. Infrequent filers preferred a format 
similar to a flowchart (perhaps on a separate instruction page or 
worksheet) to walk them through the incident characteristics and help 
them arrive at a filing decision.
    Considerations of an electronic form were not a major element of 
the discussions in this session. The most significant finding regarding 
the design of the electronic form was that large companies would prefer 
direct data exchange to a piecemeal filing of form information via the 
Web. Small companies, however, welcomed the Web interface primarily 
because of the potential for live HTML links to instructions, 
definitions and supporting regulations.
    The second focus group meeting took place on November 22, 2002, 
with a morning session attended by seven experienced filers and an 
afternoon session attended by six less experienced filers.\1\ The full 
QED report can be found in the Docket. Some of the comments received 
from this group included:
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    \1\ Other scheduled attendees of both sessions experienced work-
related emergencies or had other difficulties that prevented them 
from participating in the focus group.
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    [sbull] In general, participants reacted very positively to the new 
electronic form. Participants appreciated having direct access to the 
instructions for completing the form in an electronic version.
    [sbull] Replace the numeric values and alpha codes with check-
boxes.
    [sbull] Change the wording for the entry of failure codes for 
packaging from ``Enter up to 3 Codes'' to ``Enter up to 3 sets of 
Codes.'' They also suggested that a vertical line be drawn between each 
grouping of ``What Failed How Failed Cause(s) of Failure.''
    [sbull] Air carriers indicated that for a hazardous material 
incident involving passenger baggage, there should be an ability to 
indicate the type of bag containing the item involved in the release, 
as well as any packaging within the bag.
    [sbull] Language should be changed in Part 6 from ``Describe the 
package failure'' to something else since the report may not be in 
response to the failure of a package but due to some other hazardous 
material incident.
    [sbull] Participants indicated that they would like the ability to 
save templates. These templates could be linked to a company- or 
location-specific password, and would store information such as 
reporting entity address, mode, and

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possibly even material information (for single-material handlers). 
Alternatively, some participants indicated that they would like to be 
able to host versions of these forms (with company-specific information 
already filled in) on their own intranets and post the reports to DOT 
databases from their own systems.
    [sbull] Participants would like to enter the UN number of the 
hazardous material, and have a scripted lookup function enter 
everything else into the various fields from a table.
    [sbull] Provide additional ``skip patterns'' and validation logic--
for example, if the release is caused by a ``puncture,'' the program 
should make ``shell thickness'' a required data field and not allow the 
form to be saved or submitted if it is incomplete. Participants also 
mentioned that they would like relevant previous responses to gray out 
everything not applicable after item 23, and that item 23 itself should 
be linked to the response to 1(b). Similarly on item 27, if there are 
no fatalities, the numbers could be greyed out and ``tab'' could skip 
to the next valid item.
    [sbull] Add ability to upload supplementary documentation/pictures, 
etc. on the part 6 page using an interface not unlike that for adding 
attachments to Web-based mail.
    [sbull] Part 7 might be better as a dropdown box, since filers will 
probably supply a response that can be autocoded this way. This might 
save DOT time in having to back-code responses that fall into regular 
patterns such as ``enhanced training, accelerated repair schedule,'' 
etc.
    [sbull] Participants stated that default values would be a good 
idea for the form. Having a default value for ``unknown'' might make it 
easier for DOT to identify missings/unknowns/not applicables, a 
frequent source of problems in data analysis from survey research.
    [sbull] Measurement units entered throughout the form should be 
confined to a standard list and should exist in fields separate from 
the quantities field.
    RSPA received numerous comments and questions on the proposed form 
layout. Several commenters mentioned the increase in the number of 
pages of the form. As we explained in the NPRM, the page numbers 
increased due to the addition of approximately 15 data fields to the 
basic incident information and the addition of more white space. The 
number of pages in the final version of the form actually only 
increased from 2 to 4 pages.
    In considering how to organize and lay out the incident report 
form, our primary objective is to ensure that useful information is 
captured in an efficient manner. We are deleting certain existing 
fields that ask for information obtainable from other sources or that 
can be extrapolated from other fields. The questions ``Is material a 
hazardous substance?,'' ``Was the RQ met?,'' and the ``Land Use and 
Community Type'' fall into this category. Similarly, the ``Highway 
Type'' and ``Number of Lanes at a Vehicle Accident/Derailment site'' 
can be determined from other sources. In addition, the type of labeling 
or placarding fields offer limited benefit to safety improvements, and 
have not been included in the revised form.
    Additional information in certain areas is needed to help determine 
future program direction and to support measures of program 
effectiveness. Separate fields for information on packing group, 
hazardous wastes, and toxic by inhalation materials would allow us to 
better identify the materials involved in incidents. Further, we 
believe the inclusion of cross-reference fields, such as the NRC report 
number and the shipper's and carrier's hazardous materials registration 
number, will help broaden the ties the incident data has with other 
Federal hazardous materials data.
    We also believe gathering additional information on the types of 
persons who respond to incidents, the types of persons who are killed, 
injured or need to be evacuated, as well as how long evacuations or 
closures last, will contribute to incident risk analysis. The more 
detailed questions concerning air transport incidents and questions 
directed to specific types of packagings will allow for more focused 
review of where and how packages fail. Additionally, the ability to 
identify the frequency and source of undeclared hazardous materials 
shipments, an area of significant safety concern to DOT, is important 
to reduce their occurrence.
    We are revising the packaging sections of the incident report form 
to eliminate duplicative and confusing formatting and to enable us to 
gather more specific packaging information. For example, we are 
replacing check boxes to identify damage to packagings with failure 
codes specific to each packaging type. The utilization of failure codes 
was one of the recommendations that came from the AAR workgroup 
discussed in Section I. The use of failure codes allows the preparer to 
select from a set of choices appropriate to the particular packaging 
type involved. Also, we believe use of terminology appropriate for the 
particular packaging type will help avoid confusion and ultimately make 
it easier for the preparer to complete the incident report. Although we 
have not adopted failure codes of the exact type and form recommended 
by AAR, we have revised the format of the codes on the form so that the 
first code element for ``What Failed'' corresponds to the specific 
point of failure followed by location codes. This allows for easy 
translation of the codes. The single AAR code corresponds to a specific 
sequence of codes to be entered on this form. Further, we recognize 
that the experience we gain with the early use of these failure codes 
may result in periodic changes as the set matures. The instructions 
invite suggestions for improvements to the failure codes.
    The expansion will add about 15 data fields to the basic incident 
information. We believe the benefits to be gained by collecting more 
detailed information will require only minimal additional time to 
report these mostly short yes/no or fill-in-the-blank fields. In 
addition, we have provided space for recommendations or actions. The 
purpose of this section is not to assess blame or serve as a definitive 
statement relating to the root causes of an incident, but rather to 
gather ideas on preventing the recurrence of incidents. Such 
information can help identify common problems and may be used to 
support regulatory changes. Further, we have reformatted the incident 
report form to facilitate completion (e.g., more white space and a more 
logical flow from item to item). While this reformatting has added two 
additional pages to the form, we believe that this design will improve 
accuracy and make the form easier to complete.

C. One-Call Reporting

    In this final rule, we are adopting the proposal to eliminate the 
separate telephonic notification requirement to FAA for air shipments 
and to require all air carriers to report incidents subject to Sec.  
171.15(a) to the National Response Center (NRC). NRC would then make 
any subsequent notifications. NRC personnel are specifically trained on 
which notification requirements pertain to which entities, thus, this 
change should result in more accurate notification to parties with a 
need to know.
    Only a few commenters addressed the one-call issue. In its comment, 
the California Highway Patrol (CHP) supported streamlining the calling 
process, but emphasized the need to alert state officials via 911. RSPA 
recognizes the difference between contacting emergency response 
officials and incident reporting to DOT. As the CHP states, ``* * * it 
is the local emergency response agency(s) who

[[Page 67750]]

handle the entire incident and nearly every instance bears the initial 
response burden and often the greatest opportunity to mitigate the 
adverse consequences.'' We reiterate that the one-call for reporting to 
the NRC is for incident reporting. In the case of any incident 
involving hazardous materials that requires immediate emergency 
response, the local authorities should be immediately notified. In 
addition, adoption of this requirement does not relieve a person from 
reporting discrepancies of hazardous material shipments transported by 
air. Discrepancies are those air shipments involving hazardous 
materials which are improperly described, certified, labeled, marked, 
or packaged, in a manner not ascertainable when accepted. Section 
175.31 of the HMR requires, as soon as practical, a person to report by 
telephone to the nearest FAA Security Field Office a discrepancy 
relative to the shipment of a hazardous material following the 
shipment's acceptance for transportation aboard an aircraft.
    The United Parcel Service (UPS) indicated its support for 
continuing reporting to the FAA Security Field Office in place of 
reporting to the NRC. UPS stated that ``* * * direct notification to 
the FAA by the person in physical possession of the hazardous material 
will result in more accurate notification * * *'' than notification to 
the NRC. UPS notes that ``* * * nothing in the administrative record 
provides a reasoned discussion of why elimination of direct FAA 
notification would result in more accurate incident reporting.'' A 
Presidential review of Federal release prevention, mitigation, and 
response authorities, conducted under the requirements of section 
112(r)(10) of the Clean Air Act, as amended in 1990, found that the 
current reporting system was complex and confusing. In 1993, the 
National Response Team (NRT), comprised of multiple federal agencies, 
submitted a Report to Congress entitled ``A Review of Federal 
Authorities for Hazardous Materials Accident Safety.'' In this report 
the NRT recommended that streamlining the accident notification 
reporting requirements be further examined. The NRT found that the 
duplicative reporting requirements imposed by the various agencies was 
a burden.
    The one-call reporting system is an attempt to streamline the 
process for federally mandated reporting of accidental discharges of 
hazardous materials. There are a variety of incident scenarios, that, 
under current Federal regulations, would require the reporting party to 
call multiple Federal agencies to notify them of an accidental release. 
Under the one-call system, the NRC receives all Federal telephonic 
notifications of hazardous materials incidents and then notifies all 
appropriate parties, ensuring that incident data is collected and 
maintained. Centralizing the collection of release notifications will 
result in improved data quality by ensuring that all release 
notification data is collected in a consistent and comprehensive 
manner.

D. Expansion of Reporting Requirements to Persons Other Than Carriers

    Currently, the requirements for telephonic and written reporting of 
transportation incidents apply to carriers only. Operators of 
transportation facilities, such as marine terminals, who may not 
perform carrier functions are not required to report transportation 
incidents involving hazardous materials. Most commenters to the NPRM 
agree that the person in physical control of a hazardous material when 
an incident occurs during transportation should be responsible for 
reporting that incident. The Norfolk Southern Railway Company supports 
the proposal and notes ``the person in control * * * would be the 
person most knowledgeable about the incident.''
    Many commenters note that a pending RSPA rulemaking that will 
define when a material is ``in transportation in commerce'' (Docket HM-
223, NPRM published on January 27, 2001; 66 FR 59220) is an important 
factor in determining when and what entities would be required to 
report incidents. DuPont comments ``* * * this issue cannot be resolved 
until the DOT publishes a final rulemaking on Docket HM-223 
Applicability of the Hazardous Materials Regulations to Loading/
Unloading and Storage.'' A commenter associated with the F 5800.1 Task 
Force supports ``* * * the idea that the party having physical control 
of the material is the one who should be required to complete the 
report * * *'' but notes the relationship of Docket HM-223. ``If the 
final rule in HM-223 is promulgated as proposed, it would relieve 
parties, other than carriers from having to execute incident reports'' 
notes the commenter. He continues ``This would mean that consignors and 
consignees would not have to report incidents occurring during loading 
or unloading.'' The International Vessel Operators Hazardous Materials 
Association, Inc. (VOHMA) expands the concept further by questioning 
``* * * who will actually be required to report an incident that occurs 
during the course of activities that might not be considered to be `in 
transportation' and in fact, [we] wonder if the responsibility might 
then fall back on the last carrier.''
    On October 30, 2003, we published a final rule under Docket HM-223 
(68 FR 61906). Among other issues, the final rule clarifies the 
applicability of the HMR to specific functions and activities, 
including loading, unloading, and storage operations. Consistent with 
the Federal hazardous materials transportation law (49 U.S.C. 5101 et 
seq.), the final rule defines ``transportation'' to mean the movement 
of property and loading, unloading, or storage incidental to the 
movement. Transportation in commerce begins when a carrier takes 
physical possession of a hazardous material for the purpose of 
transporting it and continues until delivery of the package to its 
consignee or destination as evidenced by the shipping documentation 
under which the hazardous material is moving. The final rule defines 
``loading incidental to movement'' to mean the loading by carrier 
personnel or in the presence of carrier personnel of packaged or 
containerized hazardous material onto a transport vehicle, aircraft, or 
vessel; for a bulk packaging, ``loading incidental to movement'' means 
the filling of the packaging with a hazardous material by carrier 
personnel or in the presence of carrier personnel. The final rule 
defines ``unloading incidental to movement'' to mean the removal of a 
packaged or containerized hazardous material from a transport vehicle, 
aircraft, or vessel or the emptying of a hazardous material from a bulk 
packaging after the hazardous material has been delivered to the 
consignee and prior to the delivering carrier's departure from the 
consignee facility or premises. Under the final rule, ``storage 
incidental to movement'' means storage by any person of a transport 
vehicle, freight container, or package containing a hazardous material 
between the time that a carrier takes physical possession of the 
hazardous material until the package containing the hazardous material 
is physically delivered to the destination indicated on a shipping 
document.
    This final rule requires reporting of incidents under Sec. Sec.  
171.15 of 171.16 that occur during the time that the material is in 
transportation. Consistent with the definitions adopted in HM-223, 
incidents that occur during loading operations conducted by carrier 
personnel or in the presence of carrier personnel must be reported, as 
must incidents that occur during unloading operations conducted prior 
to a carrier's departure from the consignee's premises. Hazardous 
materials incidents

[[Page 67751]]

that occur during loading operations conducted by a shipper prior to a 
carrier's arrival at its facility to pick up the hazardous material or 
during unloading operations conducted by consignee personnel after the 
hazardous material has been delivered and the carrier has departed the 
premises are not required to be reported under Sec. Sec.  171.15 and 
171.16. Note in this regard that the HM-223 final rule changes the 
applicability of the HMR to rail tank car unloading operations 
conducted by consignee personnel, which are currently subject to the 
provisions of Sec.  174.67. Under HM-223, such rail tank car unloading 
operations are not transportation functions and, thus, are not subject 
to incident reporting requirements.
    Other commenters opposed the requirement in total. In addition to 
Docket HM-223 concerns, the Fertilizer Institute (TFI) and The National 
Propane Gas Association (NPGA) ``* * * contend that this change will 
increase the burden on industry.'' Additionally, they claim the ``* * * 
change will decrease the efficiency of RSPA's data collection'' because 
it is possible that more than one person will report the same incident. 
The Petroleum Marketers Association of America (PMMA) sees an increase 
in burden for industry and RSPA by ``* * * requiring procedural 
changes, additional training, and time'' for industry and the confusion 
caused by duplicative reporting will ``* * * decrease the efficiency of 
RSPA's data collection efforts and will not benefit its risk 
assessment.''
    RSPA already receives duplicate reports and currently has a system 
for identifying duplicative reporting, thus the impact to RSPA should 
be minimal. In our Regulatory Evaluation, available in the HM-229 
Docket (RSPA-99-5013-87), we discuss the additional cost to industry by 
adopting this proposal. We anticipate a minimal increase in the number 
of reports concerning incidents that occur during loading and unloading 
because these activities are already reported by carriers. Given the 
volume of handlings, however, we conservatively estimate a 2% increase 
in the number of reports concerning incidents that occur during loading 
and unloading.
    RSPA also expects an increase in the number of reported incidents 
occurring in facilities where hazardous materials are stored incidental 
to transportation. An RSPA study conducted in 1998 estimates that many 
of the 800,000 daily shipments of hazardous materials involve 
consolidations, intermodal or intramodal transfers and in-transit 
storage, resulting in 1.2 million daily hazardous materials movements. 
We estimate that extending reporting requirements to in-transit storage 
facilities will increase the overall total number of reports by 10%.
    The intent of this rule change is to collect spill information on 
incidents that occur while the hazardous material is in transportation. 
Since RSPA has jurisdiction over hazardous materials in transportation, 
excluding reporting on incidents that occur during in-transit storage 
creates an incomplete data set of hazardous materials incidents. In the 
past, RSPA has discovered such incidents only from sources such as 
press reports of the most serious incidents. The information will 
provide a more complete picture of incidents occurring throughout the 
transportation system.
    In this final rule, we are requiring each person in physical 
control of a hazardous material while it is in transportation in 
commerce to report any incident that occurs while the material is in 
that person's possession. For example, an in-transit storage facility 
owner would have to report any event that meets the provisions of 
Sec. Sec.  171.15 or 171.16 and that occurs during the time that a 
hazardous material is stored in transportation. Consistent with the 
definitions adopted in the HM-223 final rule, storage incidental to 
movement is storage by any person of a transport vehicle, freight 
container, or package containing a hazardous material between the time 
that a carrier takes physical possession of the hazardous material 
until the package containing the hazardous material is physically 
delivered to the destination indicated on a shipping document. Reports 
of incidents or releases that occur during incidental storage will 
provide more accurate and complete information regarding hazardous 
materials incidents.
    In addition, we are revising Sec.  171.21 to require the person 
responsible for reporting the incident, rather than the ``carrier,'' to 
make available all records and information pertaining to the incident.

E. Exceptions to Incident Reporting

    As proposed in the NPRM, an incident meeting all of the following 
criteria would not be required to be reported:
    (1) The shipment has not been offered for transportation or 
transported by air;
    (2) None of the criteria in Sec.  171.15(a) apply;
    (3) The material is not a hazardous waste;
    (4) The material is properly classed as--
    (i) ORM-D; or
    (ii) A Packing Group III material in Class or Division 3, 4, 5, 
6.1, 8, or 9;
    (5) Each package has a capacity of less than 20 liters (5.2 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
    (6) The total aggregate release is less than 20 liters (5.2 
gallons) for liquids or less than 30 kgs (66 pounds) for solids; and
    (7) The material does not meet the definition of an undeclared 
hazardous material in Sec.  171.8.
    In the NPRM, we proposed to except small spills of low hazard 
materials from the reporting requirements. We wanted to require that an 
aggregate spill of 20 liters (5.2 gallons) or over for liquids or 30 kg 
(66 pounds) or over for solids of otherwise excepted hazardous 
materials be reported. For example, if twelve 5-gallon containers of a 
flammable liquid hazardous material in PG III are spilled, no incident 
report would be required unless the aggregate amount released from the 
twelve containers of the hazardous material is at least 5.2 gallons or 
one of the conditions in Sec.  171.15(a) is met. Based on reports 
received over the past five years, we expect that the proposed 
exceptions would result in a sizeable net reduction of the total number 
of incident reports filed each year.
    Most commenters agreed with the proposed new exceptions and 
suggested that we include additional reporting exceptions. The Reusable 
Industrial Packaging Association (RIPA) suggested that non-bulk 
packagings and IBCs containing residues should not be reported if a 
spill of the residue occurs. Safety-Kleen requested that hazardous 
wastes be included in the reporting exceptions. RSPA does not agree 
with either commenter. Since this information is used to determine the 
effectiveness of packagings, excluding packagings larger than what was 
proposed, even if they only contain a residue of a hazardous material, 
leaves out incidents we wish to include in our data set. In addition, 
hazardous wastes are generally not included in most exceptions, even if 
the regulations for materials only meeting the definition of a 
hazardous waste and no other hazard class are relatively minimal.
    Some commenters were against expanding the reporting exceptions or 
noted that we risk limiting the data we collect concerning spills. 
Chevron/Phillips warns ``* * * the inclusion of many of the exceptions 
noted in HM229 [sic] may further reduce data that can be used to 
further risk management efforts.'' The International Brotherhood

[[Page 67752]]

of Teamsters ``* * * fears that RSPA will be relinquishing its 
authority to collect information about hazardous materials releases 
that can, and often do, lead to workers being exposed to hazardous 
materials.''
    These expanded exceptions, as noted by several commenters, actually 
reduce some of the exceptions for paint and paint-related materials, 
and for limited quantities in Packing Group II. The Glidden Company 
calculates ``* * * the significant increase in reporting will require * 
* * an additional 175 to 180 reports per year.'' BASF states ``* * * 
this proposed change will significantly increase the burden on the 
paint manufacturing industry * * *'' and DuPont adds that the change 
``* * * would escalate the cost with no corresponding increase in 
safety.'' Indeed, the exceptions presented in this final rule eliminate 
exceptions based on specific shipping names for paint and batteries. 
Instead, the exceptions in this final rule are based on the hazards the 
materials pose and quantities of those materials.
    The original exceptions to spill reporting were implemented under 
Docket HM-36A (45 FR 73682) in 1980, before Packing Groups for 
materials were developed in Docket HM-181 (55 FR 57402 and 56 FR 
66124). When Packing Groups were incorporated into the regulations, we 
did not revise Sec.  171.16 to update the reporting exceptions in light 
of the Packing Group changes. In 1996, under a broad regulatory review, 
exceptions for limited quantities of Packing Group II and III materials 
were added under Docket HM-222B (61 FR 27166), but we did not conduct a 
thorough review of incident reporting, and the basis for reporting 
exceptions.
    In reviewing the reporting requirements and the exceptions to 
reporting, we have determined that the data needs for releases of small 
amounts of low-hazard materials is low. We now have ample data from 
incidents over the past 20 years involving small releases of Packing 
Group III hazardous materials in small quantities to warrant a 
reporting exception. However, we have determined that incidents 
involving Packing Group II materials warrant reporting, even in these 
smaller quantities. These materials pose a greater hazard than Packing 
Group III materials, so packaging failures and other incidents will 
continue to be required to be reported in order to monitor and improve 
regulations. Thus, we have adopted the proposed exceptions published in 
the NPRM.
    In addition, we are clarifying that the incident report 
requirements do not apply to minimal amounts of hazardous materials 
escaping: (1) Due to disconnecting a loading or unloading line or from 
the operation of venting devices (for which venting is authorized); or 
(2) from the manual operation of seals in equipment such as pumps, 
compressors, and valves during the normal course of transportation if 
the release does not trigger any of the provisions for a telephonic 
notification described in Sec.  171.15 of this subpart and does not 
result in property damage.

F. Criteria for Telephonic Notification

    Under current Sec.  171.15 requirements, one of the criteria that 
triggers the requirement for immediate notification is property damage 
that exceeds $50,000. RSPA proposed removing this requirement. There 
were not many comments on this point. The CHP supported the proposal 
because ``quite often the true total costs associated with an incident 
will not be determined for a substantial period of time following an 
incident.'' We agree and are removing the monetary criterion.
    We proposed to clarify the requirements for ``immediate 
notification'' by specifying that telephonic notification must be made 
as soon as practicable following the occurrence of an incident and in 
all instances within 12 hours after an event requiring notification. 
This revision also responds to NTSB recommendation H-99-58 to provide a 
specific time period to report an incident by telephone. NTSB 
recommended that a 2-hour time frame was preferable. Commenters note 
the difficulties in complying with a 2-hour response time. The 
Conference on Safe Transportation of Hazardous Articles, Inc. notes 
that ``* * * immediate reporting requirements should focus on obtaining 
response services that are required to gain control of an incident.''
    RSPA understands contacting emergency response entities may be of 
primary concern immediately following an incident; however, 
notification of federal authorities through the NRC is also essential. 
The NTSB comments that railroads, under 49 CFR 840.3, are required to 
provide telephonic notification to NRC within 2 hours in the event of 
an accident resulting in a fatality, release of hazardous materials, or 
evacuation of the public, and within 4 hours after an accident 
resulting in damages exceeding certain limits. RSPA understands the 
circumstances involving remote highway incidents may be more difficult 
to address in the constrained time frame. We do not want to detract 
from the immediate emergency response efforts focused on amelioration 
of a spill, therefore we have clarified the requirements of 
``immediate'' telephonic notification to be as soon as practical but no 
later than 12 hours after the occurrence of any incident.

G. Updates to Reports

    In the NPRM, we proposed to require updates to the incident report 
form within one year under the following conditions:
    (1) A death results from injury caused by a hazardous material;
    (2) There was a misidentification of the hazardous material or 
package information on the incident report;
    (3) Damage, loss or related cost that was not known when the 
initial report was filed becomes known; or
    (4) Damage, loss, or related cost changes by $25,000 or more.
    RSPA received several comments on updating reports. UPS commented 
that the requirement would be a ``* * * substantial burden for any 
carrier such as UPS * * *'' because it would have to monitor thousands 
of incidents per year to determine if any developments trigger an 
update. In addition, it noted that the requirement would ``* * * 
require a submitter to constantly update an incident report for one-
year [sic] following its submission.'' Farmland Industries, Inc. 
mentions that if RSPA removes ``* * * cost as a requirement for 
telephonic reporting, consideration should be given to removing updated 
costs from an incident.''
    DuPont does not support the proposal to update the report, even 
though the actual number of updates would be small. It does not believe 
``* * * that a majority of the hazardous materials incidents reported 
would require updating because the quantities released are minimal.'' 
DuPont thinks the number of reports that would require updating are so 
minimal and ``* * * question if the small percentage that would qualify 
warrant a regulatory requirement for updating the reports.''
    Other entities supported an updating requirement, with caveats. The 
Norfolk Southern Railway Company does not oppose the proposal, but 
feels the requirement to update based on a change of $25,000 in the 
costs of the incident would ``* * * serve no real purpose'' and would 
be burdensome to industry. Ashland, Inc. suggests that the costs 
requirement for updating the report be a $250,000 change and only if 
the cost changes by more than 10%. The F5800.1 Task Force also 
suggested including a 10% threshold.
    We believe that substantive changes to the outcome of an incident 
should be

[[Page 67753]]

updated to ensure the accuracy and quality of the data we collect. 
Updated information provides a more meaningful approach to causal, 
trend, or risk assessment analysis. We are adopting the proposal to 
require updated incident reports for up to one year after the date of 
an incident for the following: (1) Death resulting from injuries caused 
by a hazardous material; (2) corrections to the identification of the 
hazardous material or package information; and (3) certain updated 
damage costs as additional information becomes available. Cost 
information would be updated when: (1) costs not known at the time the 
report was filed became known; or (2) original damage/cost estimates 
were revised by more than $25,000 or 10% of the original estimate, 
whichever is greater. In some cases, certain costs (such as 
decontamination and cleanup) may not be known within 30 days of the 
incident's occurrence, and would not be included in the initial 
incident report. In other cases, some costs (such as property damage) 
may be significantly higher than the original estimate. We estimate 
that about 800 incidents reported each year would require an update.
    CHP mentions that updating the report should be streamlined for 
more accurate reporting. It is possible that in the future, with the 
advent of electronic data management systems, performing an update to 
the form may not require the re-submission of the DOT Form F 5800.1 
form. Until that time, we will retain the current requirements for 
submitting updates.
    Under Sec.  171.21, persons required to report an incident are 
required to cooperate with any further investigation of that incident. 
In particular, incidents that we categorize as significant may require 
further investigation, or reports that are incomplete may require a 
follow-up.

H. Reporting When No Hazardous Material Is Released During an Incident

    In the NPRM, we proposed to require certain incidents involving 
bulk packagings that do not result in release of a hazardous material 
to be reported. We stated that such information could provide a broader 
base for risk management in more critical transportation situations and 
that additional information could be used to gauge the performance and 
integrity of certain packagings. This proposal was in response to NTSB 
recommendation H-92-6, which requested that DOT implement a program to 
collect information necessary to identify patterns of cargo tank 
equipment failure, including the reporting of all accidents involving a 
DOT specification cargo tank. This request stems from the February 4, 
1992 special investigation report on cargo tank rollover protection 
(PB92-917002). NTSB examined seven highway accidents in which cargo 
tanks overturned and hazardous materials were released through damaged 
closures or fittings on top of the tanks; none of the cargo tank shells 
had been breached. Among its conclusions were the following:
    * There is inadequate information about the forces that can be 
encountered in a rollover accident and the extent to which rollover 
protection devices for cargo tanks can reasonably be designed to 
withstand these forces because neither the RSPA, the FHWA [Federal 
Highway Administration, now Federal Motor Carrier Safety 
Administration, or FMCSA], nor the industry has provided engineering 
modeling or other analysis to determine the magnitude of forces acting 
upon a cargo tank under different accident conditions, and
    * The FHWA [now FMCSA] and the RSPA accident data bases are not 
adequate to identify important trends of potential problems related to 
the design and construction of bulk liquid cargo tanks.
    Subsequently, in its report, NTSB recommends that RSPA ``implement, 
in cooperation with the FMCSA, a program to collect information 
necessary to identify patterns of cargo tank equipment failures, 
including the reporting of all accidents involving a Department of 
Transportation specification cargo tank.'' In an effort to minimize 
duplicative reporting of much of the same information, discussions with 
FMCSA and RSPA resulted in agreement that the F 5800.1 form would be 
suitable and appropriate to collect this type of information.
    Most commenters oppose data collection for an incident that does 
not result in a release of hazardous materials. Commenters cite a 
number of reasons, the main ones being an increase in burden, an 
ambiguity in when a report was required, and the limited usefulness of 
the data collected under this proposal. The commenters made it clear 
that specific guidelines would be required to avoid what the National 
Tank Truck Carriers (NTTC) describe is a possible ``compliance trap'' 
due to varying definitions of ``damage'' from company to company and 
inspector to inspector. This point was raised numerous times. Utility 
Solid Waste Activities Group comments ``* * * that a specific 
definition of `damage' is needed to evaluate the impact of this 
proposal.'' PMMA adds ``* * * the language of the proposed rule is 
vague.'' TFI and NPGA argue not only that the requirement ``* * * is 
vague and fails to give regulated parties the requisite certainty to 
enable compliance'' but also that the proposal ``* * * does not 
accomplish the desired goals of NTSB Recommendation H-92-6.'' The last 
comment seems to contradict NTSB's opinion, as NTSB was one of only two 
commenters agreeing with the proposal. The other was the Nuclear Energy 
Institute.
    RSPA believes there is a need to collect this information as 
recommended by NTSB. The potential burden on operators is offset by the 
safety information that will be provided. For example, such reporting 
can provide information concerning packaging integrity, particularly 
the circumstances under which a packaging is able to withstand a 
collision or accident without releasing its contents. The incident data 
base is expanded to include ``near miss'' or ``close call'' incidents 
which, because of the quantity and type of hazardous materials present, 
have the potential for significant consequences.
    Additionally, collecting this information allows for examination of 
the circumstances (packaging, procedures, training) to determine if 
there may be ways to avoid the actual set of incidents that pose the 
greatest risk. This information also provides an indication of a 
packaging's ability to survive forces encountered in the transportation 
environment. Finally, this data would provide ``success stories'' and 
illustrations of a packagings robustness. The converse is also true. If 
most times that a packaging is in an accident and its damage results in 
a hazardous materials release, it may point to the inadequacy of the 
packaging requirements. Accurate data will prevent safety gaps as well 
as aid in determining how to allocate limited funds of the regulated 
community to provide the greatest safety benefits.
    However, RSPA also agrees with some of the concerns of the 
commenters. For example, the ONEDO-Nalco Company argues that smaller 
bulk packagings, such as IBCs, are handled, loaded, and unloaded more 
frequently than larger containers so that minor damage ``* * * is 
relatively common.'' TFI and NPGA noted that the NTSB recommendation 
focused only on cargo tanks, while RSPA's proposal expanded the concept 
to other bulk packagings. Therefore, in this final rule, RSPA is 
adopting the proposal only in regards to reporting damage to 
specification cargo tanks over a 1000-gallon capacity. In addition, we 
clarify what is reportable damage. Structural damage is damage 
considered

[[Page 67754]]

serious enough to bring into question the integrity of the cargo tank. 
A cargo tank that requires subsequent replacement or repair due to the 
damage sustained in the accident for other than cosmetic reasons falls 
into this category. Lading retention system consists of the basic 
containment (e.g., tank) and any associated appurtenances or equipment 
(e.g., piping and valves) that, if seriously damaged, could result in 
the release of the contents of the cargo tank. Examples of when an 
incident report is required and when one is not required follow. If 
there is doubt, the incident should be reported.

------------------------------------------------------------------------
        Incident report required           No incident report required
------------------------------------------------------------------------
Damage to an outlet valve that affects   Handle broken or knocked off
 seating and requires replacement.        valve--but otherwise
                                          undamaged.
Serious damage that, if worse, could     Serious damage that, even if
 have resulted in the loss of the         worse, would not have resulted
 contents of the cargo tank. Damage to    in the loss of the contents of
 outlet lines that contain hazardous      the cargo tank. Damage to
 materials during transportation are in   outlet lines that are normally
 this category.                           not charged during
                                          transportation are in this
                                          category.
Cargo tank damage that requires          Minor damage that obviously
 professional inspection or               will not affect continuation
 recertification to ensure it is          of the cargo tank in service.
 capable of meeting requirements..
Cargo tank damage that requires          Cargo tank damage that requires
 immediate or subsequent repair because   repair for cosmetic reasons
 of questions about cargo tank            only.
 integrity.
------------------------------------------------------------------------

    RSPA may address this issue in a future rulemaking if it determines 
that data needs require additional information for other bulk 
packagings. For instance, it is our understanding that AAR maintains 
extensive accident data that could be correlated to damage and 
releases. Access to this data or reports based on the data may negate 
future need for its collection via DOT F 5800.1. We will explore 
options in this area with the rail industry. In addition, information 
on damage to certified cargo tanks of 1000 gallons or more capacity 
that do not result in a release will be analyzed over the next several 
years to determine its usefulness in practice and if further rulemaking 
is needed.

I. Undeclared Shipments of Hazardous Materials That Do Not Result in a 
Release

    Reducing undeclared shipments of hazardous materials is a high 
priority of the Department. Undeclared shipments are apt to be in 
substandard packages and undermine hazard communication that is vital 
in an emergency. Undeclared shipments, particularly when offered for 
transportation or transported by air, pose a significant safety problem 
because of the potential for improper packing, handling, and failure to 
communicate the hazard. Emergency responders and transportation workers 
are unaware of the presence of undeclared hazardous materials. Certain 
hazardous materials that are forbidden for air transportation may make 
their way onto a passenger-carrying or cargo-only aircraft, and may 
inadvertently be handled in an unsafe manner by transportation workers. 
In a hazardous material release from an undeclared shipment, the crew 
does not know what the hazardous material is, or what response measures 
to take.
    Commenters agreed that undeclared shipments posed a great danger, 
however, many commenters did not support this proposal. While VOHMA 
agrees that undeclared shipments are ``* * * one of our most 
significant problems,'' it notes that carriers ``* * * lack the 
resources to remove such seals, unpack the container to inspect the 
cargo within * * *'' VOHMA also notes in its comments that ``[t]he 
carrier should not be held responsible by the regulations for declaring 
dangerous cargoes * * *'' Others supported the concern that this could 
put the carriers in a difficult position of being responsible to ensure 
that all shipments were prepared properly. Some commenters state that a 
reporting requirement specific to undeclared hazardous materials would 
expose their companies to undue liability and possible enforcement 
actions for accepting an undeclared shipment. Other commenters state 
that this requirement would place carriers in an enforcement role.
    A number of commenters, including the Air Line Pilots Association, 
International (ALPA), CHP, and the NTSB support reporting undeclared 
shipments when discovered in transportation. ALPA states this problem 
is ``* * * one of, if not the greatest potential risks to passengers, 
aircraft, and crew.''
    We believe that information on undeclared shipments should be 
collected and that the incident report form is the most accessible 
method for collecting such data. Requiring reports of undeclared 
hazardous materials discovered in transportation can help in several 
ways. For example, problem shippers can be identified, and outreach and 
enforcement can be used to reduce the chance of recurrence. In 
addition, reporting can also help define the extent of the problem, 
establish trends, and help gauge the effectiveness of efforts to reduce 
undeclared shipments. Such a requirement is consistent with the current 
emphasis by the Department on this area. Accordingly, RSPA is adopting, 
as proposed, the requirement to submit an incident report when an 
undeclared shipment of hazardous materials is discovered. This 
requirement applies to parties who are likely to discover undeclared 
shipments and who will benefit greatly from a reduction of such 
shipments, which is a goal of this rulemaking.
    RSPA is sensitive to problems noted by commenters concerning the 
amount of information that is considered sufficient to give a person 
(other than the original offeror) actual or constructive knowledge of 
the presence of a hazardous material. In a separate proceeding (Docket 
No. RSPA-01-10380), RSPA is formulating additional guidance on the 
factors that enforcement agencies consider relevant to a determination 
whether a carrier knew or should have known that an ``undeclared'' 
shipment contained a hazardous material, based on comments submitted in 
writing and at a June 19, 2002 public meeting.
    This rule does not change the ``knowingly'' standard for civil 
penalty liability in 49 U.S.C. 5123, nor does it create any increased 
duty to examine all packages for the presence of hazardous material or 
affect the responsibility of a carrier or other person to refuse to 
transport a package that it knows or should know contains a hazardous 
material. The requirement to report the discovery of an undeclared 
hazardous material is not intended to create a ``compliance trap.'' 
Enforcement action is focused on the person who initially offered the 
undeclared hazardous material for shipment, not the person who 
subsequently received a shipment that was not properly marked, labeled, 
placarded, and described on shipping papers. In addition, there is no 
basis for

[[Page 67755]]

enforcement action against a person who accepted or handled an 
undeclared hazardous material when it had no reason to know of the 
presence of the hazardous material.

J. Notifying Shippers of Incidents

    We proposed to require the person responsible for completing an 
incident report to provide a copy of the report to the shipper whose 
packages were the subject of the report. This proposal responded to 
NTSB Recommendation R-89-52, that recommends requiring carriers 
reporting hazardous materials incidents under the provisions of Sec.  
171.16 to notify shippers whose hazardous materials shipments are 
involved. NTSB is concerned that shippers are not receiving information 
about packages that are prone to failure during transportation.
    Some commenters who supported the proposal cited the importance 
this information could provide for the shipper in identifying problem 
packagings or methods. The Glidden Company indicated notification would 
provide it ``* * * with valuable information into possible reasons how 
and why packages are damaged in transport.'' This reasoning is echoed 
by BASF who stated that the notification would ``* * * provide valuable 
information into possible reasons for package failure or damage during 
transport,'' and also by Utility Solid Waste Activities Group who 
expressed ``* * * such notification could provide a strong safety 
incentive and would help prevent additional incidents where the 
offeror's packaging is at fault.''
    Many other commenters opposed the proposal for a number of 
different reasons. One commenter stated that the incident report may 
not be forwarded to the appropriate company or person within that 
company, essentially eliminating the opportunity for corrective action. 
The Air Transport Association (ATA) stated that if there is a shipper's 
name and address on the shipping paper, it may not be the location from 
which the material was originally shipped. In addition, as VOHMA noted, 
``Often, the carrier accepts the freight container from [a] forwarder 
listing that party as the shipper of record or consignor'' thus, making 
the original shipper impossible to find by the reporter of the 
incident. NTTC observed that carriers may not know the identity of the 
true shipper of a given product due to the intervention of forwarders, 
brokers, and third party logistics providers.
    Other commenters stated that the reports were an increased burden 
for the reporter and many reports may be of little or no interest to 
shippers. Safety-Kleen asserted that ``* * * the majority of hazardous 
waste generators do not want to be notified when small amounts of 
material have leaked * * this [proposal] places an unfair burden on the 
hazardous waste carriers.''
    We believe that some type of shipper notification is incorporated 
into most standard business practices to account for shipment tracking, 
product loss, or damage reporting by carriers and consignees, and may 
be replicated by the proposed notification. The comments of several 
shippers supported this view. For example, Norfolk Southern Railway 
Company stated it ``* * * already voluntarily provides copies to its 
shippers * * *'' and that ``* * * reports are sent to the shippers at 
the same time they are submitted to RSPA.'' Chevron/Phillips noted that 
companies ``* * * already support this activity and have detailed 
reporting requirements in contracts and service agreements.''
    We agree with NTSB and others that there are benefits to shippers 
being made aware of incidents involving their packages; however, for 
the reasons discussed above we believe it is not appropriate to impose 
the burden of notification on incident reporters. We believe that RSPA, 
along with FAA, FMCSA, Federal Railroad Administration (FRA) and the 
United States Coast Guard (USCG) can do a better job of ensuring 
appropriate corrective action by selective notification of shippers and 
others, as warranted by analysis of incidents, and by working towards 
making incident report information generally available on RSPA's 
website. Notification from DOT would carry more weight and prompt a 
more immediate response from shippers. Also, enhanced analysis of 
incidents, as enabled by this final rule, will allow us to better 
identify problems involving packagings, including those problems that 
may occur at different locations of a company, or among different 
companies.
    How incident data can be analyzed was demonstrated in 2001, when 
the Intermodal Hazardous Materials Program (IHMP) office reviewed 
incident data for companies whose shipments were involved in a high 
proportion of incidents relative to other shippers. Incident data from 
January 1998 to October 2000 served as a basis of the review. The 
analysis of this data revealed that a large number of incidents 
reported by carriers during this 34-month period involved shipments 
from a small number (less than 40) companies. The IHMP Director sent 
letters to these companies, informing them of their incidents and 
detailing the results of the IHMP incident analysis. Each letter 
included information on the numbers of yearly incidents, reporting 
carriers, types of commodities and packages involved, locations where 
the shipments originated, reported incident casual factors, and 
reported monetary damages.
    The IHMP letters generated significant positive feedback from 
shippers and heightened their awareness to potential internal problem 
areas. Several companies expressed appreciation to DOT for notifying 
them about these incidents. Some shippers stated that they were unaware 
of these incidents, others that they had received only partial 
notifications from their carriers, and others were surprised to 
discover that summary incident data was readily available on RSPA's 
Office of Hazardous Materials Safety website. Where appropriate, 
shippers took action to reduce the likelihood of reoccurrence of 
incidents.
    RSPA believes that this type of review and contact by DOT better 
serves the affected parties. We anticipate conducting ongoing analyses 
to detect problems, and are working closely with the modal 
administrations to improve analysis and information sharing 
capabilities.
    The modal administrations will have access to incident data and 
information and may conduct similar reviews if they elect to do so. 
RSPA has provided FAA's Office of Internal Security and Hazardous 
Materials an electronic summary of all hazardous materials incidents 
reported since 1993. As FAA special agents conduct hazmat shipper 
inspections and shipper outreach visits, they will individually review 
a summary of relevant incident histories with each shipper. FAA and 
RSPA will develop a system to electronically share information 
concerning incidents, discrepancies, inspections, enforcement, 
exemptions, and registrations. This will assist in the identification 
and analysis of problems and trends related to transportation of 
hazardous materials and will be used to notify shippers, or others, 
when problems become evident. Until this system is developed and 
implemented, FAA will provide copies of incidents related to the air 
mode to the relevant shippers.
    As previously indicated, summaries of incident information are 
currently available to all shippers and carriers at our website. 
Increasing awareness of this option and increasing ease of data access 
are additional avenues we will explore to ensure shippers are aware of

[[Page 67756]]

incidents involving materials they have offered for transportation.
Miscellaneous Issues
Publishing Reports on the Internet
    RSPA received several comments concerning the availability of 
completed incident report forms through the internet via RSPA's 
website. Several commenters voiced concern about this issue, mainly 
citing privacy concerns. Currently, any completed incident report is 
considered a public document and available through RSPA. Making these 
public documents available through the internet would meet initiatives 
in the government to facilitate information collection through 
electronic means. However, any information that is currently withheld 
under existing law would remain withheld if incident reports are made 
available through the internet. RSPA will be reviewing this issue in 
the future; however, no additional rulemaking action is necessary to 
make these documents electronically available.
New Definitions
    We are adopting a new definition in Sec.  171.8 for ``unintentional 
release''. We are revising the definition for ``undeclared hazardous 
material shipment'' for further clarification.
Hazardous Waste Manifest
    We are removing the requirement in Sec.  171.16 to attach a 
hazardous waste manifest to the incident report form when a release 
involves a hazardous waste. The revised incident report form requires 
the hazardous waste manifest number to be reported and provides a field 
for entering the number. Through this reference, we will be able to 
access the hazardous waste manifest, if needed, through the appropriate 
officials. In addition, we are removing the requirements for: (1) An 
estimate of the quantity of waste removed from the scene; (2) the name 
and address of the facility to which it was taken; and (3) the manner 
of disposition of any removed waste. This information is already 
available as a result of EPA's hazardous waste manifest regulations; 
thus, continued reporting of this information to RSPA is unnecessary. 
Removing these requirements eliminates reporting information that is 
obtainable through other sources. Therefore, RSPA has adopted these 
amendments as proposed.
Record Retention Location
    This final rule requires that an incident report must be retained 
for two years at either the reporter's principal place of business or 
another record retention site provided the report is available at the 
reporter's principal place of business within 24 hours of request. We 
are adopting this amendment as proposed, which removes the requirement 
to seek an approval to store the report at a place other than the 
reporter's principal place of business. Adopting this proposal will 
provide flexibility in maintaining records without the need for an 
approval from DOT. In addition, this allows electronic versions to be 
retained, even though the server the document is located on is outside 
the principal place of business.
Incidents at Registered Cargo Tank Facilities
    In the NPRM, we asked a series of questions concerning fatalities 
that may occur at registered cargo tank repair facilities during cargo 
tank inspection and repair operations. Such fatalities generally result 
because hazardous materials residue in the cargo tank is not removed 
before work is done on the tank. We did not propose any changes 
specific to this issue in the NPRM, but asked for comments to assist us 
in determining whether we should propose to collect information 
concerning such accidents in a future rulemaking. Most of the 
commenters that addressed this issue, including NTTC and the 
International Brotherhood of Teamsters, supported collecting data on 
these accidents. One commenter, Farmland Industries, suggested that 
RSPA does not have the authority to require reporting of incidents that 
are not related to the actual transportation of a hazardous material.
    On December 29, 1970, Congress enacted the Occupational Safety and 
Health Act of 1970 (OSH Act) for the purpose of assuring safe and 
healthy workplaces. Under the OSH Act, every employer engaged in a 
business affecting commerce has a general duty to furnish each of its 
employees a workplace free from recognized hazards causing, or likely 
to cause, death or serious physical harm. In addition, employers are 
required to comply with all safety and health standards issued under 
the OSH Act that are applicable to working conditions involved in their 
businesses. In accordance with OSHA standards, cargo tank repair 
facilities must report accidents to OSHA or to a state agency 
responsible for occupational safety and health, if appropriate. OSHA 
data for the period 1985-1997 indicate that there were 17 fatalities 
during the period resulting from repair work performed on cargo tanks. 
The OHSA incident reports clearly conclude that the cause of these 
incidents was a failure to comply with existing OSHA and/or HMR 
requirements. Because OSHA already collects fairly detailed reports 
concerning accidents at cargo tank repair facilities, we do not believe 
that imposing an additional reporting requirement is necessary or 
appropriate.
State Notification
    We were contacted by a state official who requested that we require 
incidents meeting the immediate notification criteria in Sec.  171.15 
to be reported to the State in which the incident occurred. We 
disagree. A State may require immediate, oral accident/incident reports 
for local emergency response purposes. Further, any State may request 
that NRC notify it of incidents occurring within the State.

IV. Summary and Conclusion

    The following are the major changes to the current HMR reporting 
requirements and to DOT Form F 5800.1 that we are making in this final 
rule:
    (1) Reporting of incidents involving a specification cargo tank 
with a capacity of 1,000 gallons or greater that receives structural 
damage that may adversely affect the cargo tanks's ability to retain 
lading even when no hazardous material in released.
    (2) Reporting discoveries of undeclared hazardous material 
shipments.
    (3) Updating incident reports when significant new information 
becomes available.
    (4) Requiring the person in physical control of a hazardous 
material during transportation to report an incident.
    (5) Excepting small releases of specified materials that pose the 
least hazard from reporting requirements.
    (6) Restructuring the form to utilize failure codes to obtain 
information on packaging failures.

V. Regulatory Analyses and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule is not a significant regulatory action under 
Section 3(f) of Executive Order 12866 and, therefore, was not reviewed 
by the Office of Management and Budget. This rule is not a significant 
regulatory action under the Regulatory Policies and Procedures of the 
Department of Transportation (44 FR 11034). A regulatory evaluation 
that considers various regulatory alternatives is available for review 
in the public docket.
    The costs of these regulations identified in the regulatory 
evaluation

[[Page 67757]]

are attributed to: (1) Expansion of reporting requirements to persons 
other than a carrier in possession of a hazardous material during 
transportation; (2) implementation of a requirement to update incident 
reports under certain conditions; and (3) expansion of reporting 
requirements to incidents involving cargo tanks where no hazardous 
material is released. Reductions in the total costs associated with 
incident reporting requirements are attributed to implementation of an 
electronic filing option and expansion of current exceptions to the 
reporting requirements. The expected reductions in total costs 
generally offset the anticipated cost increases; thus, the requirements 
of the final rule should result in only minimal increased costs of 
compliance.
    While it is difficult to estimate the net benefit resulting from 
this rulemaking, we believe that the revisions to the incident 
reporting requirements will greatly enhance our ability to develop 
strategies to reduce the risks associated with the transportation of 
hazardous materials. The non-quantifiable benefit of increased safety 
through reducing the incidence of undeclared shipments is expected to 
be far greater than the negligible cost increase to the regulated 
community.

B. Executive Order 13132

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132 (``Federalism''). This 
final rule preempts state, local, and Indian tribe requirements, but 
does not propose any regulation with substantial direct effects on the 
states, the relationship between the national government and the 
states, or the distribution of power and responsibilities among the 
various levels of government. Therefore, the consultation and funding 
requirements of Executive Order 13132 do not apply.
    The Federal hazardous materials transportation law, 49 U.S.C. 5101-
5127, contains an express preemption provision (49 U.S.C. 5125(b)) that 
preempts state, local, and Indian tribe requirements on certain covered 
subjects. Covered subjects are:
    (1) The designation, description, and classification of hazardous 
materials;
    (2) The packing, repacking, handling, labeling, marking, and 
placarding of hazardous materials;
    (3) The preparation, execution, and use of shipping documents 
related to hazardous materials and requirements related to the number, 
contents, and placement of those documents;
    (4) The written notification, recording, and reporting of the 
unintentional release in transportation of hazardous material; or
    (5) The design, manufacture, fabrication, marking, maintenance, 
recondition, repair, or testing of a package or container represented, 
marked, certified, or sold as qualified for use in transporting 
hazardous material.
    This final rule addresses covered subject item number 4 above and 
preempts state, local, and Indian tribe requirements not meeting the 
``substantively the same'' standard. This final rule is necessary to 
increase the usefulness of data collected for risk analysis and 
management by government and industry and, where possible, provide 
relief from regulatory requirements.
    Federal hazardous materials transportation law provides at Sec.  
5125(b)(2) that, if we issue a regulation concerning any of the covered 
subjects, we must determine and publish in the Federal Register the 
effective date of Federal preemption. The preemption date of this rule 
is January 1, 2004.

C. Executive Order 13175

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive order 13175 (``Consultation and 
Coordination with Indian Tribal Governments''). This final rule does 
not have tribal implications, does not impose substantial direct 
compliance costs, and is not required by statute. Consequently, the 
funding and consultation requirements of Executive Order 13175 do not 
apply.

D. Executive Order 13272

    This final rule has been developed in accordance with Executive 
Order 13272 (``Proper Consideration of Small Entities in Agency 
Rulemaking'') and DOT's procedures and policies to promote compliance 
with the Regulatory Flexibility Act to ensure that potential impacts of 
draft rules on small entities are properly considered.

E. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires an 
agency to review regulations to assess their impact on small entities 
unless the agency determines a rule is not expected to have a 
significant impact on a substantial number of small entities. Based on 
the assessment in the final regulatory evaluation, I hereby certify 
that, while the final rule applies to a substantial number of small 
entities, there will not be a significant economic impact on those 
small entities. A detailed Regulatory Evaluation is available in the 
Docket.
    Potentially affected small entities. The revisions in this final 
rule will apply to persons in physical control of a hazardous material 
during transportation in commerce. Such persons primarily include motor 
carriers, air carriers, vessel operators, rail carriers, temporary 
storage facilities, and intermodal transfer facilities. Unless 
alternative definitions have been established by the agency in 
consultation with the Small Business Administration, the definition of 
``small business'' has the same meaning as under the Small Business Act 
(15 CFR Parts 631-657c). Therefore, since no such special definition 
has been established, RSPA employs the thresholds (published in 13 CFR 
121.201) of 1,500 employees for air carriers (NAICS Subgroup 481), 500 
employees for rail carriers (NAICS Subgroup 482), 500 employees for 
vessel operators (NAICS Subgroup 483), $18.5 million in revenues for 
motor carriers (NAICS Subgroup 484), and $18.5 million in revenues for 
warehousing and storage companies (NAICS Subgroup 493). Of the 
approximately 116,000 entities to which the proposals in this final 
rule would apply (104,000 of which are motor carriers), we estimate 
that about 90 percent are small entities. Based on historical data, we 
estimate approximately 17,810 annual responses.
    Potential cost impacts. The revision to expand reporting 
requirements to any person in physical possession of a hazardous 
material while it is being transported in commerce will primarily 
affect storage and in-transit storage facilities. We estimate there are 
approximately 6,500 warehousing and storage entities subject to this 
requirement which will incur the total increased compliance costs of 
about $84,000. We estimate that expanding the reporting requirements 
will increase the number of incident reports submitted each year by 
about 11.45 percent of the 17,810 total annual responses, or 
approximately 2,180 reports. Taken on a one-to-one report to entity 
ratio, we estimate a cost of approximately $39/year/company.
    The revision to require updating of incident reports under certain 
conditions applies to all persons subject to the HMR incident reporting 
regulations. We estimate that this final rule will result in about 800 
additional updates to reports each year for a total annual cost of 
$4,800. Taken on a one-to-one report to entity ratio, we estimate a 
cost of $6.00/year/company.

[[Page 67758]]

    The revision to require reporting of certain incidents involving 
cargo tanks that do not result in a release of hazardous materials will 
apply to about 104,000 motor carriers. We estimate that this revision 
will result in about an increase of about 16 percent of the 17,810 
total annual responses, or approximately 2,975 additional incident 
reports each year. On a one-to-one report/entity basis, motor carriers 
will incur increased compliance costs of approximately $114,240 or 
about $38/year/company.
    The revision to require reporting of undeclared shipments of 
hazardous materials discovered during transportation will apply to all 
persons subject to the HMR incident reporting regulations. We estimate 
that this final rule will result in an increase of approximately 8 
percent of the 17,810 incidents reports submitted each year, or 
approximately 1,500 reports. Taken on a one-to-one report/entity ratio, 
we estimate the corresponding increased compliance costs of $57,600 to 
be approximately $38/year/company.
    Potential cost savings. The revision in the final rule that will 
permit electronic filing of incident reports and expand the current 
exceptions from incident reporting requirements will offset the 
increased compliance costs described above. The potential savings 
attributable to the revisions to the final rule total about $276,000. 
The additional potential costs attributable to the revisions to the 
final rule total about $275,712, for a net savings of approximately 
$300.
    Consideration of alternate proposals for small businesses. The 
Regulatory Flexibility Act suggests that it may be possible to 
establish exceptions and differing compliance standards for small 
businesses and still meet the objectives of the applicable regulatory 
statutes. However, given the large numbers of small businesses, as 
defined for purposes of the Regulatory Flexibility Act, in hazardous 
materials transportation, we do not believe that it would be possible 
to establish such differing standards and still accomplish the 
objectives of federal hazardous materials transportation law. The 
information provided in hazardous materials incident reports serves as 
the basis for critical RSPA safety functions, including identification 
of safety problems, regulations development, training programs, 
outreach efforts, and enforcement strategies. The risks posed by a 
hazardous material offered for transportation or transported by a small 
entity are the same as the risks posed by the same hazardous material 
when offered for transportation or transported by a large entity. Thus, 
it is entirely reasonable and appropriate for the HMR incident 
reporting requirements to apply equally to any person who offers for 
transportation or transports hazardous materials in commerce.
    Conclusion. Based on the above analysis, we certify that while the 
revisions in this final rule will affect a significant number of small 
businesses or other small entities, there will be no substantial 
economic impact on these small businesses.

F. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995, no person is required to 
respond to a collection of information unless it displays a valid 
Office of Management and Budget (OMB) control number. Section 
1320.8(d), Title 5, Code of Federal Regulations requires that RSPA 
provide interested members of the public and affected agencies an 
opportunity to comment on information collection and recordkeeping 
requests. RSPA has a current information collection approval under OMB 
No. 2137-0039, Hazardous Materials Incident Reports.
    The average number of incident reports RSPA received for the years 
1997--2000 is about 17,300, and for the years 1995--2000 is about 
16,000. Our regulatory evaluation for this final rule uses a base 
number of 17,000 annual incident reports.
    As a result of this final rule, there was a modest increase in 
annual burden and costs. OMB approved this information collection as 
proposed under this rule on August 30, 2001. The following figures are 
based on receiving 17,000 incident reports per year and only include 
estimates for written incident reports:
    Total Annual Respondents: 1,781.
    Total Annual Responses: 17,810.
    Total Annual Burden Hours: 23,746.
    Total Annual Burden Cost: $569,904.
    Requests for a copy of the information collection should be 
directed to Deborah Boothe or T. Glenn Foster, Office of Hazardous 
Materials Standards (DHM-10), Research and Special Programs 
Administration, Room 8102, 400 Seventh Street, SW, Washington, DC 
20590-0001, Telephone (202) 366-8553.

G. Regulation Identifier Number (RIN)

    A regulation identifier number (RIN) is assigned to each regulatory 
action listed in the Unified Agenda of Federal Regulations. The 
Regulatory Information Service Center publishes the Unified Agenda in 
April and October of each year. The RIN number contained in the heading 
of this document can be used to cross-reference this action with the 
Unified Agenda.

H. Unfunded Mandates Reform Act

    This final rule imposes no mandates and thus does not impose 
unfunded mandates under the Unfunded Mandates Reform Act of 1995. It 
would not result in costs of $100 million or more to either state, 
local, or tribal governments, in the aggregate, or to the private 
sector.

I. Environmental Assessment

    The revisions in this final rule will increase the quality of data 
collected on hazardous materials spills, increasing our ability to 
evaluate potential packaging problems that result in releases to the 
environment. Thus, the revisions should produce a small net benefit to 
the environment by improving the data sources used in regulatory 
development. Therefore, we find that there are no significant 
environmental impacts associated with this final rule.

List of Subjects

49 CFR Part 171

    Exports, Hazardous materials transportation, Hazardous waste, 
Imports, Reporting and record keeping requirements.

0
In consideration of the foregoing, we are amending 49 CFR part 171 as 
follows:

PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS

0
1. The authority citation for part 171 continues to read as follows:

    Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.

0
2. In Sec.  171.8 the following definitions are added in alphabetical 
order to read as follows:


Sec.  171.8  Definitions and abbreviations.

* * * * *
    Undeclared hazardous material means a hazardous material that is 
(1) subject to any of the hazard communication requirements in subparts 
C (Shipping Papers), D (Marking), E (Labeling), and F (Placarding) of 
Part 172 of this subchapter, or an alternative marking requirement in 
Part 173 of this subchapter (such as Sec. Sec.  173.4(a)(10) and 
173.6(c)), and (2) offered for transportation in commerce without any 
clear indication of the presence of the hazardous material in or on at 
least one of the following: an accompanying shipping paper, the outer 
package, the transport vehicle or freight container, or another written 
statement by the person

[[Page 67759]]

offering the hazardous material for transportation.
* * * * *
    Unintentional release means the escape of a hazardous material from 
a package on an occasion not anticipated or planned. This includes 
releases resulting from collision, package failures, human error, 
criminal activity, negligence, improper packing, or unusual conditions 
such as the operation of pressure relief devices as a result of over-
pressurization, overfill or fire exposure. It does not include 
releases, such as venting of packages, where allowed, and the 
operational discharge of contents from packages.
* * * * *

0
3. Section 171.15 is revised to read as follows:


Sec.  171.15  Immediate notice of certain hazardous materials 
incidents.

    (a) General. As soon as practical but no later than 12 hours after 
the occurrence of any incident described in paragraph (b) of this 
section, each person in physical possession of the hazardous material 
must provide notice by telephone to the National Response Center (NRC) 
on 800-424-8802 (toll free) or 202-267-2675 (toll call). Notice 
involving an infectious substance (etiologic agent) may be given to the 
Director, Centers for Disease Control and Prevention, U.S. Public 
Health Service, Atlanta, GA, 800-232-0124 (toll free), in place of 
notice to the NRC. Each notice must include the following information:
    (1) Name of reporter;
    (2) Name and address of person represented by reporter;
    (3) Phone number where reporter can be contacted;
    (4) Date, time, and location of incident;
    (5) The extent of injury, if any;
    (6) Class or division, proper shipping name, and quantity of 
hazardous materials involved, if such information is available; and
    (7) Type of incident and nature of hazardous material involvement 
and whether a continuing danger to life exists at the scene.
    (b) Reportable incident. A telephone report is required whenever 
any of the following occurs during the course of transportation in 
commerce (including loading, unloading, and temporary storage):
    (1) As a direct result of a hazardous material--
    (i) A person is killed;
    (ii) A person receives an injury requiring admittance to a 
hospital;
    (iii) The general public is evacuated for one hour or more;
    (iv) A major transportation artery or facility is closed or shut 
down for one hour or more; or
    (v) The operational flight pattern or routine of an aircraft is 
altered;
    (2) Fire, breakage, spillage, or suspected radioactive 
contamination occurs involving a radioactive material (see also Sec.  
176.48 of this subchapter);
    (3) Fire, breakage, spillage, or suspected contamination occurs 
involving an infectious substance other than a diagnostic specimen or 
regulated medical waste;
    (4) A release of a marine pollutant occurs in a quantity exceeding 
450 L (119 gallons) for a liquid or 400 kg (882 pounds) for a solid; or
    (5) A situation exists of such a nature (e.g., a continuing danger 
to life exists at the scene of the incident) that, in the judgment of 
the person in possession of the hazardous material, it should be 
reported to the NRC even though it does not meet the criteria of 
paragraph (b) (1), (2), (3) or (4) of this section.
    (c) Written report. Each person making a report under this section 
must also make the report required by Sec.  171.16 of this subpart.

    Note to Sec.  171.15: Under 40 CFR 302.6, EPA requires persons 
in charge of facilities (including transport vehicles, vessels, and 
aircraft) to report any release of a hazardous substance in a 
quantity equal to or greater than its reportable quantity, as soon 
as that person has knowledge of the release, to DOT's National 
Response Center at (toll free) 800-424-8802 or (toll) 202-267-2675.


0
4. Section 171.16 is revised to read as follows:


Sec.  171.16  Detailed hazardous materials incident reports.

    (a) General. Each person in physical possession of a hazardous 
material at the time that any of the following incidents occurs during 
transportation (including loading, unloading, and temporary storage) 
must submit a Hazardous Materials Incident Report on DOT Form F 5800.1 
(01/2004) within 30 days of discovery of the incident:
    (1) Any of the circumstances set forth in Sec.  171.15(b);
    (2) An unintentional release of a hazardous material or the 
discharge of any quantity of hazardous waste;
    (3) A specification cargo tank with a capacity of 1,000 gallons or 
greater containing any hazardous material suffers structural damage to 
the lading retention system or damage that requires repair to a system 
intended to protect the lading retention system, even if there is no 
release of hazardous material; or
    (4) An undeclared hazardous material is discovered.
    (b) Providing and retaining copies of the report. Each person 
reporting under this section must--
    (1) Submit a written Hazardous Materials Incident Report to the 
Information Systems Manager, DHM-63, Research and Special Programs 
Administration, Department of Transportation, Washington, DC 20590-
0001. Submit an electronic Hazardous Material Incident Report to the 
Information System Manager, DHM-63, Research and Special Programs 
Administration, Department of Transportation, Washington, DC 20590-0001 
at http://hazmat.dot.gov;
    (2) For an incident involving transportation by aircraft, submit a 
written or electronic copy of the Hazardous Materials Incident Report 
to the FAA Security Field Office nearest the location of the incident; 
and
    (3) Retain a written or electronic copy of the Hazardous Materials 
Incident Report for a period of two years at the reporting person's 
principal place of business. If the written or electronic Hazardous 
Materials Incident Report is maintained at other than the reporting 
person's principal place of business, the report must be made available 
at the reporting person's principal place of business within 24 hours 
of a request for the report by an authorized representative or special 
agent of the Department of Transportation.
    (c) Updating the incident report. A Hazardous Materials Incident 
Report must be updated within one year of the date of occurrence of the 
incident whenever:
    (1) A death results from injury caused by a hazardous material;
    (2) There was a misidentification of the hazardous material or 
package information on a prior incident report;
    (3) Damage, loss or related cost that was not known when the 
initial incident report was filed becomes known; or
    (4) Damage, loss, or related cost changes by $25,000 or more, or 
10% of the prior total estimate, whichever is greater.
    (d) Exceptions. Unless a telephone report is required under the 
provisions of Sec.  171.15 of this part, the requirements of paragraphs 
(a), (b), and (c) of this section do not apply to the following 
incidents:
    (1) A release of a minimal amount of material from--
    (i) A vent, for materials for which venting is authorized;
    (ii) The routine operation of a seal, pump, compressor, or valve; 
or
    (iii) Connection or disconnection of loading or unloading lines, 
provided

[[Page 67760]]

that the release does not result in property damage.
    (2) An unintentional release of hazardous material when:
    (i) The material is properly classed as--
    (A) ORM-D; or
    (B) a Packing Group III material in Class or Division 3, 4, 5, 6.1, 
8, or 9;
    (ii) Each package has a capacity of less than 20 liters (5.2 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
    (iii) The total aggregate release is less than 20 liters (5.2 
gallons) for liquids or less than 30 kg (66 pounds) for solids; and
    (iv) The material is not--
    (A) Offered for transportation or transported by aircraft,
    (B) A hazardous waste, or
    (C) An undeclared hazardous material.
    (3) An undeclared hazardous material discovered in an air 
passenger's checked or carry-on baggage during the airport screening 
process. (For discrepancy reporting by carriers, see Sec.  175.31 of 
this subchapter.)

0
5. Section 171.21 is revised to read as follows:


Sec.  171.21  Assistance in investigations and special studies.

    (a) A shipper, carrier, package owner, package manufacturer or 
certifier, repair facility, or person reporting an incident under the 
provisions of Sec.  171.16 must:
    (1) Make all records and information pertaining to the incident 
available to an authorized representative or special agent of the 
Department of Transportation upon request; and
    (2) Give an authorized representative or special agent of the 
Department of Transportation reasonable assistance in the investigation 
of the incident.
    (b) If an authorized representative or special agent of the 
Department of Transportation makes an inquiry of a person required to 
complete an incident report in connection with a study of incidents, 
the person shall:
    (1) Respond to the inquiry within 30 days after its receipt or 
within such other time as the inquiry may specify; and
    (2) Provide true and complete answers to any questions included in 
the inquiry.

    Issued in Washington, DC on November 19, 2003 under the 
authority delegated in 49 CFR Part 1.
Samuel G. Bonasso,
Deputy Administrator, Research and Special Programs Administration.

Attachment 1--Hazardous Materials Incident Report

    Note: This attachment will not appear in the Code of Federal 
Regulations.

BILLING CODE 4910-60-P

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BILLING CODE 4910-60-C

General Overview for Completing the Hazardous Materials Incident 
Report--Department of Transportation Form F 5800.1

What Federal Regulation Requires Me To Submit the Report?

    The Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) 
require that certain types of incidents be reported to the Research 
and Special Programs Administration (RSPA). Section 171.15 of the 
HMR requires an immediate telephonic report (within 12 hours) of 
certain types of hazardous materials incidents and a follow-up 
written report. Section 171.16 requires a written report for certain 
types of hazardous materials incidents within 30 days. Each type of 
report is explained below.

What Is the Purpose of the Report?

    The information you are providing in this report is fundamental 
to hazardous material transportation risk analysis and risk 
management by government and industry. It allows us to better 
understand the causes and consequences of hazardous material 
transportation incidents. The data is used to identify trends and 
provide basic program performance measures. It helps to demonstrate 
the effectiveness of existing regulations and to identify areas 
where changes should be considered. It also assists all parties, 
including industry segments and individual companies, in 
understanding the types and frequencies of incidents, what can go 
wrong, and possible measures that would prevent their recurrence. 
Your accurate and complete description of incidents can make a 
significant contribution to continual safety improvement through 
better regulations, cooperative partnerships, and individual 
efforts.

Who Must Complete the Report?

    Any person in possession of a hazardous material during 
transportation, including loading, unloading and storage incidental 
to transportation, must report to the Department of Transportation 
(DOT) if certain conditions are met. This means that when the 
conditions apply for completing the report, the entity having 
physical control of the shipment is responsible for filling out and 
filing Form DOT F 5800.1.
    For example, if a shipper is carrying hazardous material, the 
consignee is unloading the material and there is an incident 
involving this material, the consignee is responsible for filling 
out and filing the form. However, if the consignee is unloading the 
hazardous material and causes a hazardous materials incident 
involving a consignment intended for someone else, the shipper is 
responsible for filling out and filing the form.

What Definitions Should I Know in Order To Complete the Report?

    In order to accurately complete the report, you should be 
familiar with the following terms. A complete list of definitions is 
contained in Sec.  171.8.
    Bulk packaging--a packaging, other than a vessel or a barge, 
including a transport vehicle or freight container, in which 
hazardous materials are loaded with no intermediate form of 
containment and which has:
    (1) A maximum capacity greater than 450 liters (119 gallons) as 
a receptacle for a liquid;
    (2) A maximum net mass greater than 400 kilograms (822 pounds) 
and a maximum capacity greater than 450 liters (119 gallons) as a 
receptacle for a solid; or
    (3) A water capacity greater than 454 kilograms (1000 pounds) as 
a receptacle for a gas as defined in Sec.  173.115.
    Cargo tank--a bulk packaging which is:
    (1) A tank intended primarily for the carriage of liquids or 
gases and includes appurtenances, reinforcements, fittings, and 
closures;
    (2) Is permanently attached to or forms a part of a motor 
vehicle, or is not permanently attached to a motor vehicle but 
which, by reason of its size, construction, or attachment to a motor 
vehicle, is loaded or unloaded without being removed from the motor 
vehicle; and
    (3) Is not fabricated under a specification for cylinders, 
portable tanks, tank cars, or multi-unit tank car tanks.
    Hazardous material--a substance or material that has been 
determined to be capable of posing an unreasonable risk to health, 
safety, and property when transported in commerce, and that has been 
so designated. The term includes hazardous substances, hazardous 
wastes, marine pollutants, elevated temperature materials, materials 
designated as hazardous under the provisions of Sec.  172.101, the 
Hazardous Materials Table (HMT), and materials that meet the 
defining criteria for hazard classes and divisions in Part 173.
    Hazardous substance--a material, including its mixtures and 
solutions, that--
    (1) Is listed in Appendix A to Sec.  172.101;
    (2) Is in a quantity, in one package, which equals or exceeds 
the reportable quantity (RQ) listed in Appendix A to Sec.  172.101; 
and
    (3) When in a mixture or solution--
    (i) For radionuclides, conforms to paragraph 7 of Appendix A to 
Sec.  172.101.
    (ii) For other than radionuclides, is in a concentration by 
weight which equals or exceeds the concentration corresponding to 
the RQ of the material, as shown in the following table:

------------------------------------------------------------------------
                                                 Concentration by weight
             RQ pounds (kilograms)             -------------------------
                                                  Percent        PPM
------------------------------------------------------------------------
5000 (2270)...................................       10          100,000
1000 (454)....................................        2           20,000
100 (45.4)....................................        0.2          2,000
10 (4.54).....................................        0.02           200
1 (0.454).....................................        0.002           20
------------------------------------------------------------------------

    The term hazardous substance does not include petroleum, 
including crude oil or any fraction thereof which is not otherwise 
specifically listed or designated as a hazardous substance in 
Appendix A to Sec.  172.101, and the term does not include natural 
gas, natural gas liquids, liquefied natural gas, or synthetic gas 
useable for fuel (or mixtures of natural gas and such synthetic 
gas).
    Hazardous waste--any material that is subject to the Hazardous 
Waste Manifest Requirements of the U.S. Environmental Protection 
Agency specified in 40 CFR Part 262.
    Marine pollutant--a material that is listed in Appendix B to 
Sec.  172.101 (also see Sec.  171.4) and, when in a solution or 
mixture of one or more marine pollutants, is packaged in a 
concentration that equals or exceeds:
    (1) Ten percent by weight of the solution or mixture for 
materials listed in Appendix B; or
    (2) One percent by weight of the solution or mixture for 
materials that are identified as severe marine pollutants in 
Appendix B.
    Undeclared hazardous material-a hazardous material that is:
    (1) Subject to any of the hazard communication requirements in 
subparts C (Shipping Papers), D (Marking), E (Labeling), and F 
(Placarding) of Part 172 of this subchapter, or an alternative 
marking requirement in Part 173 of this subchapter (such as 
Sec. Sec.  173.4(a)(10) and 173.6(c)); and
    (2) Offered for transportation in commerce without any clear 
indication of the presence of the hazardous material in or on at 
least one of the following: an accompanying shipping paper, the 
outer package, the transport vehicle or freight container, or 
another written statement by the person offering the hazardous 
material for transportation.
    Unintentional release--the escape of a hazardous material from a 
package on an occasion not anticipated or planned. This includes 
releases resulting from collision, package failures, human error, 
criminal activity, negligence, improper packing, or unusual 
conditions such as the operation of pressure relief devices as a 
result of over-pressurization, overfill, or fire exposure. It does 
not include releases, such as venting of packages, where allowed, 
and the operational discharge of contents from packages.

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    Additionally, for purposes of reporting on this form, the 
following definitions should be used:
    Lading retention system--a lading retention system consists of 
those items or equipment that provide containment of hazardous 
materials at some point during transportation, including loading and 
unloading. The cargo tank shell, associated piping, and valves are 
an example of a lading retention system. Dents or damage to a tank 
requiring repair to an accident protection system guarding the tank 
are examples of incidents that must be reported. Paint chips and 
scratches to either the tank or the accident protection system are 
examples of incidents that do not require reporting.
    Major Transportation Artery--a highway, main road or secondary 
road but not a side street or dirt road. In the case of rail, any 
rail line except a rail spur.
    When Must I Submit a Written Report (DOT Form F 5800.1)?
    Under Sec.  171.16, you must submit a written report within 30 
days after any of the following:
    [sbull] An incident that was reported by telephonic notice under 
Sec.  171.15;
    [sbull] An unintentional release (see definitions) of a 
hazardous material during transportation including loading, 
unloading and temporary storage related to transportation;
    [sbull] A hazardous waste is released;
    [sbull] An undeclared shipment with no release is discovered; or
    [sbull] A specification cargo tank 1,000 gallons or greater 
containing any hazardous materials that (1) received structural 
damage to the lading retention system or damage that requires repair 
to a system intended to protect the lading retention system, and (2) 
did not have a release.
    To clarify the requirement for a report based on structural 
damage to a specification cargo tank, the table below illustrates 
some examples:

 Examples To Clarify When To Report Structural Damage to a Specification
                               Cargo Tank
------------------------------------------------------------------------
        Incident report required           No incident report required
------------------------------------------------------------------------
Damage to an outlet valve that affects   Handle broken or knocked off
 seating and requires replacement.        valve--but otherwise
                                          undamaged.
Serious damage that, if worse, could     Serious damage that, even if
 have resulted in the loss of the         worse, would not have resulted
 contents of the cargo tank. Damage to    in the loss of the contents of
 outlet lines that contain hazardous      the cargo tank. Damage to
 materials during transportation is in    outlet lines that are normally
 this category.                           not charged during
                                          transportation is in this
                                          category
Cargo tank damage that requires          Minor damage that obviously
 professional inspection or               will not affect continuation
 recertification to ensure it is          of the cargo tank in service.
 capable of meeting requirements.
Cargo tank damage that requires          Cargo tank damage that requires
 immediate or subsequent repair because   repair for cosmetic reasons
 of questions about cargo tank            only.
 integrity.
------------------------------------------------------------------------

When Is a Report Not Required?

    You are not required to report a release of a hazardous material 
if ALL of the following apply:
    [sbull] The shipment is not being offered for transportation or 
being transported by air;
    [sbull] None of the criteria in Sec.  171.15(a) applies;
    [sbull] The material is not a hazardous waste;
    [sbull] The material is properly classed as an ORM-D, or a 
Packing Group III material in Class or Division 3, 4, 5, 6.1, 8, or 
9;
    [sbull] Each package has a capacity of less than 20 liters (5.2 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
    [sbull] The total aggregate release is less than 20 liters (5.2 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
    [sbull] The material does not meet the definition of an 
undeclared hazardous material in Sec.  171.8; AND
    [sbull] The shipment is an undeclared material discovered in an 
air passenger's checked or carry-on baggage during the airport 
screening process.
    Also, you are not required to report releases of minimal amounts 
of material (i.e., a pint or less) released from the manual 
operation of seals of pumps, compressors, or valves, during the 
connecting or disconnecting of loading and unloading lines, or, for 
materials for which venting is authorized, from vents, provided 
these releases do not result in property damage or trigger any of 
the telephonic notifications requirements found in Sec.  171.15.

When Must I Make a Telephonic Report?

    Under Sec.  171.15, you must provide telephone notice within 12 
hours after the incident occurs when one of the following conditions 
occurs during the course of transportation and is a direct result of 
the hazardous material:
    [sbull] A person is killed;
    [sbull] A person receives an injury requiring admittance to a 
hospital;
    [sbull] The general public is evacuated for one hour or more;
    [sbull] One or more major transportation arteries or facilities 
are closed for one hour or more;
    [sbull] The operational flight plan or routine of an aircraft is 
altered;
    [sbull] Fire, breakage, spillage or suspected radioactive 
contamination occurs involving a radioactive material;
    [sbull] Fire, breakage, spillage or suspected contamination 
occurs involving an infectious substance other than a diagnostic 
specimen or regulated medical waste;
    [sbull] There is a release of a marine pollutant in a quantity 
exceeding 450 liters (119) gallons) for liquids or 400 kilograms 
(882 pounds) for solids; or
    [sbull] A situation exists of such a nature that in the judgment 
of the person in possession of the hazardous material, it should be 
reported to DOT's National Response Center even though it does not 
meet the above criteria.
    You may decide that the situation should be reported even though 
it does not meet any of the above criteria.
    Make sure that you request the NRC report number when you make 
your telephonic report.

What Telephone Number Do I Call To Make an Immediate Notification 
of a Hazardous Materials Incident?

    You must call 800-424-8802 (toll-free) or 202-267-2675 (toll-
call) to make a telephonic incident report. This is the number to 
the National Response Center. This call must be made within 12 hours 
of the events that trigger this requirement. If the incident 
involves an infectious substance, you may notify the Director, 
Center for Disease Control and Prevention (CDC), U.S. Public Health 
Service, Atlanta, Georgia, toll-free at 800-232-0124. If a 
discrepancy of a shipment intended for air is discovered following 
its acceptance aboard aircraft, notify the nearest Federal Aviation 
Administration Civil Aviation Security Office as soon as practical.

How Long Do I Have To Submit the Written Report?

    You must submit your written report within 30 days of discovery 
of the incident, Sec.  171.16(a).

Am I Required To Update the Information in the Report?

    Yes. You must use DOT Form F 5800.1 and check the ``A 
supplemental (follow-up) report'' box on question 2 to 
provide additional information after the initial report. You are 
required to provide updates for up to one year after the initial 
filing if more information is gained or new developments arise 
concerning the following, for example:
    [sbull] A death results from injuries caused by a hazardous 
material;
    [sbull] The person responsible for preparing the original report 
learns that there is a misidentification of hazardous material or 
package information;
    [sbull] Damage or loss or related costs that were not known at 
the time the report was filed become known; or
    [sbull] Revised estimates of damages, losses, and related costs 
result in a change of $25,000 or more, or 10% of the original cost 
estimates, whichever is greater, even if the original estimate was 
under $500.

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How and Where Do I Submit My Completed Report?

    [sbull] You can mail paper copies of the report to the 
Information Systems Manager, U.S. Department of Transportation, 
Research and Special Programs Administration, Office of Hazardous 
Materials Safety, DHM-63, Washington, DC 20590-0001; or
    [sbull] You can submit the report on-line at http://hazmat.dot.gov.

How Long Must I Keep a Copy of the Report?

    You must keep a copy of each report or an electronic image of 
the report for two years after the date you submit it to RSPA (Sec.  
171.16(b)(3)).

Where Must I Keep a Copy of the Report?

    The report must be accessible through your company's principal 
place(s) of business. You must be able to make the report available 
upon request to authorized representatives or a special agent of the 
Department within 24 hours of such a request (Sec.  171.16(b)(3)).

How Can I Get a Blank Copy of the Form F 5800.1?

    There are a variety of sources for obtaining the Form F 5800.1. 
Please note that you are allowed to make unlimited photocopies of 
the form and distribute them.
    [sbull] You may obtain limited copies of the form from the 
Information Systems Manager at the above address.
    [sbull] You may download a copy of the form from our website at 
http://hazmat.dot.gov/spills.htm
    [sbull] Our Fax on Demand service has copies of the instructions 
and the form. Call 1-800-467-4922 and choose the Fax on Demand 
option 2.

How Long Does It Take To Complete the Report?

    RSPA anticipates that it will take you approximately 1.6 hours 
to complete this report. This estimate includes the time it will 
take you to review the instructions, search your existing data 
sources for information, gather the required data, and complete and 
review the report.

How Can I Comment on the Length of Time Needed To Complete the 
Report or on the Amount of Information Required in the Report?

    You can send your comments on the report, and any suggestions 
you have for reducing the amount of time needed to complete the 
report, to the following address:
    (2) Information Systems Manager, U.S. Department of 
Transportation, Research and Special Programs Administration, Office 
of Hazardous Materials Safety, DHM-63, Washington, DC 20590-0001.
    Please verify that your information is accurate. Although the 
required information is generally available at the time of the 
incident, you may need to do some additional investigation in order 
to obtain all of the facts pertaining to deaths, injuries or damage 
amounts. If you submit complete and accurate information at the time 
you file the report, it will decrease the chance of your having to 
supply missing information to DOT at a later date. RSPA may follow 
up on incomplete forms.
    Instructions for Form DOT F 5800.1:
    Please print. Fill in all applicable blanks accurately to the 
best of your ability.

Part I: Report Type

    (3) This is to report: Check the box that describes why you are 
filling out this form. This will normally be ``A) A hazardous 
material incident.'' If you are reporting an undeclared shipment 
with no release, check the corresponding box, ``B).'' If you are 
reporting an incident involving a cargo tank motor vehicle 
containing a hazardous material that received structural damage to 
the lading retention system that may affect its ability to retain 
lading but does not release a hazardous material, check that 
appropriate box, ``C).''
    (2) Indicate what type of report this is: If this is an initial 
report, check the ``initial report'' box. If this is a follow-up to 
a previous report, check the ``A supplemental (follow-up) report'' 
box. If you are using additional pages, check the ``Additional 
Pages'' box.

Part II: General Incident Information

    (3), (4) Date & Time of Incident: Enter the date and time the 
incident occurred. If you do not know the actual date and time, give 
the date and time you discovered the incident. Use 24-hour time for 
the incident time (e.g. ``2400'' for midnight, ``1200'' for noon, 
``0747'' for 7:47 a.m., ``2115'' for 9:15 p.m.).
    (5) Enter National Response Center Report Number: If this 
incident was reported to the National Response Center (NRC), fill in 
the report number NRC assigned to the incident.
    (6) If you submitted a report to another Federal DOT agency, 
enter the agency and report number: If you were required to fill out 
a report for another Federal DOT agency such as the Federal Railroad 
Administration or the Federal Motor Carrier Safety Administration 
for this incident, please include the agency and report number. This 
will facilitate our combination of information.
    (7) Location of Incident: Enter the geographic location of the 
incident (city, county, State, and zip code). If you do not know the 
actual location where the incident occurred, give the location where 
it was discovered. If the incident occurred at an airport or rail 
yard, include the name of the facility. If the incident occurred on 
a body of water, include the name and/or river mile. If you do not 
know the street address, or if the incident occurred on a highway, 
include a description such as ``On I-70, mile marker 240.''
    (8) Mode of Transportation: Enter the code that corresponds to 
the mode of transportation in which the incident occurred or was 
discovered. If the incident occurred or was discovered in an in-
transit storage area (e.g., a terminal or warehouse), check the box 
that corresponds to the mode by which the package was last 
transported.
    (9) Transportation Phase: Enter the code that describes where 
the incident occurred in the transportation system. In transit means 
the incident occurred or was first discovered while the package was 
in the process of being transported. In-transit storage is storage 
incidental to transportation, such as at a terminal waiting for the 
next leg of transportation.
    (10) Carrier/Reporter: Provide the name, street address, Federal 
DOT number (if applicable), and hazmat registration number of the 
carrier or the entity who is reporting the incident (if other than a 
carrier). The entity in physical possession of the material when the 
incident occurred or was discovered must report the incident.
    (11) Shipper/Offeror: Enter the information about the person or 
entity that originally offered for transportation the material or 
package involved in the incident.
    (12) Origin: Enter the origin of the shipment if the address is 
different than the shipper/offeror information entered in item 
11.
    (13) Destination: Enter the final destination of the shipment 
involved in the incident.
    (14) through (19):
    Hazardous Material Description: Enter the proper shipping name, 
technical or trade name, hazard class or division, ID number, 
packing group, and amount of material released. All of this 
information, except the amount of material released, can be found on 
the shipping papers that accompany the shipment, Sec.  172.202. When 
indicating the amount of material released, include units of 
measurements (examples: 115 gallons, 69 tons).
    (20) Was the material shipped as a hazardous waste? Check the 
``Yes'' box if the material meets the definition of a hazardous 
waste in Sec.  171.8 (requires an EPA Uniform Hazardous Waste 
Manifest). Include the EPA Manifest number.
    (21) Is this a Toxic by Inhalation (TIH) material? If the 
material involved in the incident meets the definition of a Toxic by 
Inhalation material in Sec.  173.132, check the ``Yes'' box and 
enter the Hazard Zone in the space provided.
    (22) Was the material shipped under an Exemption, Approval, or 
Competent Authority Certificate? If the shipment was shipped under 
an exemption, an approval, or a Competent Authority Certificate, 
check the ``Yes'' box and provide the appropriate assigned number.
    (23) Was this an undeclared hazardous materials shipment? If 
this material was not indicated in any way to be a hazardous 
material even though it was required to be described as such on a 
shipping paper, or if the material would normally be excepted from 
the shipping paper requirements (such as a small quantity material) 
and does not have the required markings, it is considered an 
undeclared hazardous material shipment. Check the appropriate box.

Part III: Packaging Information

    (24) Packaging Type: Check the box that corresponds to the type 
of packaging involved in the incident. If more than one packaging 
type was involved in an incident, reproduce Part III of the form and 
fill out this section for each of the packaging types. For example, 
if three different packaging types were involved in an incident, 
fill out a separate Part III for each packaging type. If the type of 
packaging is not represented, check the ``Other'' box and enter a 
brief

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description such as ``non-specification bulk bin.''
    (25) Enter the appropriate failure codes (found at the end of 
the instructions): Enter the codes that describe what failed on the 
packaging, how the packaging failed, and the cause(s) of the 
failure. Be sure to enter the codes from the list that corresponds 
to the particular packaging types checked above (24). Enter 
the most important failure point in line 1. If there is a second 
failure point, enter in line 2. If there are more than two failure 
points, provide additional information in this format in Part VI. 
The following explains the content of each line: What Failed: You 
can enter up to 2 ``What Failed'' codes to describe the part of the 
packaging that fails and was the immediate cause of the release. 
Often, on a simple packaging, only one code will be required. On 
more complex packaging, additional entries will help identify where 
that failure occurred. The first entry should designate the specific 
point of failure, followed by entries that help identify where that 
failure occurred. For instance, a deteriorated gasket on a pipe 
flange on the liquid line would have failure code 121 for gasket 
entered first and failure code 118 for flange entered second.
    How Failed: Enter the ``Failure'' code that describes how the 
corresponding part of the packaging failed. The primary way the 
packaging failed should be entered first. Cause(s) of Failure: Enter 
the ``Cause of Failure'' code that describes what caused the 
corresponding part of the packaging to fail in the way it did. The 
most probable or fundamental cause of failure should be entered 
first.
    If none of the codes on the list fit exactly, use the closest 
matches and provide additional detail in Part VI. Also, if you 
believe a better set of codes would be more descriptive of what 
failed, how it failed, and the causes of failure, suggest them in 
Part VII.
    (26a) Provide the complete packaging identification markings, if 
available: Every specification packaging, UN or DOT, has a packaging 
identification printed or stamped on it or on a plate attached to 
the packaging. Examples are provided on the form.
    (26b) For Non-bulk, IBC, or non-specification packaging: Only 
fill out 26b if the marking is incomplete, destroyed, or unknown. 
Fill in the Outer and Inner packaging type and material of 
construction information, as appropriate. If the packaging is Non-
bulk or Intermediate Bulk Container (IBC), use the codes below to 
enter the number or letter that applies for either Non-bulk or IBC 
packaging. For non-bulk, IBC or non-specification packaging provide 
a description of the packaging in the space(s) provided.

                                     Non-bulk Packaging Identification Codes
----------------------------------------------------------------------------------------------------------------
                                                 Outer Packaging
-----------------------------------------------------------------------------------------------------------------
                Type                                Material                              Head type
----------------------------------------------------------------------------------------------------------------
1 = Drum                              A = Steel                             1 = Non-removable
2 = Wooden Barrel                     B = Aluminum                          2 = Removable
3 = Jerrican                          C = Natural Wood
4 = Box                               D = Plywood
5 = Bag                               F = Reconstituted Wood
6 = Composite Packaging               G = Fiberboard
7 = Pressure receptacle               H = Plastic
                                      L = Textile
                                      M = Paper, multi-wall
                                      N = Metal other than steel or
                                       aluminum
                                      P = Glass, porcelain, or stoneware
----------------------------------------------------------------------------------------------------------------


------------------------------------------------------------------------
                             Inner Packaging
-------------------------------------------------------------------------
                Type                               Material
------------------------------------------------------------------------
1 = Bottle                           A = Metal (any type)
2 = Can                              B = Glass, porcelain, or stoneware
3 = Box                              C = Plastic
4 = Bag                              D = Fiberboard or cardboard
5 = Cylinder                         E = Wood (any type)
------------------------------------------------------------------------

IBC Packaging Identification Codes

Material of Construction

1--Metal
2--Plastic
3--Composite
4--Fiberboard
5--Wooden
6--Flexible
    (27) Describe the package capacity and the quantity: Enter the 
total capacity of the inner and outer package. Also enter the actual 
amount of hazardous material that was shipped in the package, the 
number of packages in the shipment, and the number of packages that 
failed. Please include the units of measurement (liter, gallons, 
pounds, cubic feet, etc.)
    (28) Provide package construction and test information, as 
appropriate: In the case of Non-bulk packagings or IBCs enter the 
name of the packaging manufacturer or the symbol of the manufacturer 
only if complete identification markings were not provided in 
26b. Enter the date of manufacture and the serial number, 
if applicable. Enter the last test date if the packaging requires 
periodic testing. Also include the design pressure, shell thickness, 
head thickness, and service pressure if the failed packagings are of 
the type indicated in parenthesis after each question. If the 
packaging contained a valve, or other device that failed and 
resulted in a hazardous material release, enter the valve or device 
type, manufacturer, and model number.
    (29) If the package is for Radioactive Materials, complete the 
following: Complete this question only if a radioactive material was 
involved. Indicate the packaging category, the packaging 
certification, certification number, and which nuclides were 
present, the transportation index (TI), activity of the nuclides, 
and the criticality safety index.

Part IV: Consequences

    (30) Result of Incident: Check all boxes that describe what 
occurred during the incident or as a result of the incident. For 
example, in a situation where a truckload of 55 gallon drums of 
corrosive liquids overturns resulting in a release that contaminates 
a nearby wetlands and stream the boxes ``Spillage,'' ``Material 
Entered Waterway/Storm Sewer,'' and ``Environmental Damage'' may 
apply.
    (31) Emergency Response: Check all boxes that correspond with 
any emergency response and cleanup crews that participated in 
resolving the incident. If a fire crew, EMS, or police unit 
responded to the incident, include the report number.
    (32) Damages: You are required to provide information on 
estimated damages if your damages exceed $500.00. This figure 
includes the cost of the material lost, property damage, vehicle 
damage, response costs, and clean-up costs. If you do not know

[[Page 67769]]

these amounts at the time you complete the report, or the actual 
costs are revised by more than $25,000, you must submit a follow-up 
report after you determine the amounts. The following definitions 
explain each of the costs:
    Material Loss: Enter the value of material released and 
unrecoverable. Base this entry on the amount of material released 
multiplied by the unit value (e.g., price per gallon or price per 
pound) as listed on the shipper's invoice. If the invoice is not 
available, estimate the cost per unit using the shipper's basis.
    Carrier Damage: Enter the total value of damage incurred by the 
carrier. Major components include costs to repair the damaged 
vehicle and costs resulting from damage to cargo. If the vehicle is 
declared ``totaled,'' enter the insured value of the vehicle. This 
entry should not include damage to other property or to vehicles 
owned by other persons.
    Property Damage: Enter the total value of costs resulting from 
damage to the property of others involved in the incident. These 
include: repair and replacement costs of other vehicles; repair and 
replacement costs to buildings and other fixed facilities; and 
restoration of open land beyond decontamination and cleanup.
    Response Cost: Enter the total value of response costs. Response 
costs are those costs incurred immediately after the incident, and 
include local emergency response from police and fire departments 
and emergency response teams, as well as costs incurred by the 
responsible party. Response costs also include costs to contain the 
hazardous material released. Remediation/Cleanup Cost: Enter the 
total value of the cost to cleanup and remediate the site. Cleanup 
costs are those costs incurred to collect, transport, and ultimately 
dispose of all material collected during the response phase. 
Remediation costs are those costs incurred to restore the incident 
scene to its pre-incident state, and could include excavation, 
disposal and replacement of contaminated soil, pumping, treatment 
and re-injection of contaminated groundwater, or absorption and 
disposal of hazardous material released into surface water.
    (33a) Did the hazardous material cause or contribute to a human 
fatality? If a person was fatally injured by contact with the 
hazardous material or its vapors or by a fire or explosion that 
resulted from the hazardous material, check the ``Yes'' box and 
enter the number of fatalities that resulted directly from the 
hazardous material.
    (33b) Were there human fatalities that did not result from the 
hazardous material? If the fatalities were not caused directly by 
the hazardous material, check the ``Yes'' box and enter the number 
of fatalities. An example: if a passenger car collided with a cargo 
tank carrying gasoline and the automobile driver was killed due to 
the collision, then the fatality was not caused by the hazardous 
material released. If, however, the accident resulted in the release 
of gasoline from the cargo tank and a resulting fire killed the 
automobile driver, then the fatality was caused by the hazardous 
material.
    (34) Did the hazardous material cause or contribute to a 
personal injury? If a person was injured by contact with the 
hazardous material or its vapors or by a fire or explosion that 
resulted from the hazardous material, check the ``Yes'' box and 
enter the number of persons injured by the hazardous material.
    Hospitalized means admitted to a medical facility, not treated 
and released from a facility, such as a hospital emergency room, 
where the person was never admitted to the hospital proper. Non-
hospitalized individuals are those who may have received attention 
from medical personnel on-site or at a facility (including hospital 
emergency room), but were not admitted to a medical facility. 
Indicate the number of injured employees, emergency responders 
(firefighters, police, medics, etc.) and members of the general 
public.
    (35) Did the hazardous material cause or contribute to an 
evacuation? If the incident required the evacuation or removal of 
persons from a specific area because of possible or actual contact 
with the hazardous materials involved in the incident, check the 
``Yes'' box. Separately specify the numbers of individuals from the 
general public evacuated and number of employees of the facility or 
workers in the area that were evacuated. Also provide the total 
number of individuals evacuated. Indicate the duration of the 
evacuation (in hours).
    (36) Was a transportation artery or facility closed? If a road 
or transportation facility was closed due to the incident, check the 
``Yes'' box and indicate the duration (in hours) here.
    (37) Was the material involved in a crash or derailment? Check 
the ``Yes'' box if a hazardous material was involved in a crash or 
derailment. Provide the estimated speed and weather conditions at 
the time of the crash, such as rain, blowing snow, sleet, iced 
roadway, sun glare, fog, dry pavement, high winds, etc. Indicate if 
the vehicle overturned or left the roadway or track.

Part V: Air Incident Information

    This section is for incidents with packagings transported or 
intended for transportation by aircraft. If your packaging was not 
transported or intended to be transported by air, skip this section.
    (38) Was the shipment on a passenger aircraft? Indicate whether 
the shipment in question was on a commercial passenger aircraft. If 
so, indicate if the material was tendered (accepted for shipment) as 
cargo, or was located in a passenger's baggage, either in the cabin 
or baggage compartment.
    (39) Where did the incident occur or where was the incident 
discovered? Indicate where in the course of transportation the 
incident occurred or was discovered.
    (40) What phase(s) had the shipment already undergone prior to 
the incident? Check all boxes that describe the transportation 
phases the shipment went through before the incident occurred or was 
discovered.

Part VI: Description of Events and Packaging Failure

    Please describe the events involved in the incident to provide 
us with a better understanding of the incident. Include information 
that has not been collected elsewhere on this form, and include 
special scenarios, outstanding circumstances, or other information 
that provides a complete picture of the incident. Describe the 
sequence of events that led to the incident, the package failure (if 
any) and actions taken at the time of discovery. Submit photographs 
and diagrams when necessary for clarification. You may continue on 
additional sheets if necessary.

Part VII: Recommendations/Actions Taken To Prevent Future Incidents

    Recommendations may be preliminary in nature, may suggest 
actions by other parties, and may be subject to further 
investigation, refinement, acceptance, or rejection. Often, it may 
be beyond the ability of the preparer to offer recommendations, but 
where such recommendations can be made they have the potential of 
resulting in important improvements with safety benefits. For 
instance, such information can help companies identify common 
problems and alert the DOT to the need for additional measures such 
as outreach or broad training needs. This information can also help 
support regulatory changes.

Part VIII: Contact Information

    Provide the name, title, telephone number, fax number, business 
name and address, hazmat registration number and email address of 
the contact person at your company who can answer questions about 
the information provided on this form. Make sure to check the box 
that describes the function of your firm: carrier, shipper, facility 
owner/operator, or other. If ``Other'' is checked, describe the 
function.

                  Complete Listing--All Packaging Types
------------------------------------------------------------------------
                                                           Cause(s) of
 Code     What failed     Code     How failed      Code      failure
------------------------------------------------------------------------
  101  Air Inlet.......    301  Abraded.........    501  Abrasion
  102  Auxiliary Valve.    302  Bent............    502  Broken
                                                          Component or
                                                          Device
  103  Basic Material..    303  Burst or            503  Commodity Self-
                                 Ruptured.                ignition
  104  Body............    304  Cracked.........    504  Commodity
                                                          Polymerization
  105  Bolts or Nuts...    305  Crushed.........    505  Conveyer or
                                                          Material
                                                          Handling
                                                          Equipment
                                                          Mishap
  106  Bottom Outlet       306  Failed to           506  Corrosion--Exte
        Valve.                   Operate.                 rior

[[Page 67770]]

 
  107  Check Valve.....    307  Gouged or Cut...    507  Corrosion--Inte
                                                          rior
  108  Chime...........    308  Leaked..........    508  Defective
                                                          Component or
                                                          Device
  109  Closure (e.g.,      309  Punctured.......    509  Derailment
        Cap, Top, or
        Plug).
  110  Cover...........    310  Ripped or Torn..    510  Deterioration
                                                          or Aging
  111  Cylinder Neck or    311  Structural......    511  Dropped
        Shoulder.
  112  Cylinder            312  Torn Off or         512  Fire,
        Sidewall--Near           Damaged.                 Temperature,
        Base.                                             or Heat
  113  Cylinder            313  Vented..........    513  Forklift
        Sidewall--Other.                                  Accident
  114  Cylinder Valve..  .....  ................    514  Freezing
  115  Discharge Valve   .....  ................    515  Human Error
        or Coupling.
  116  Excess Flow       .....  ................    516  Impact with
        Valve.                                            Sharp or
                                                          Protruding
                                                          Object (e.g.,
                                                          nails)
  117  Fill Hole.......  .....  ................    517  Improper
                                                          Preparation
                                                          for
                                                          Transportation
  118  Flange..........  .....  ................    518  Inadequate
                                                          Accident
                                                          Damage
                                                          Protection
  119  Frangible Disc..  .....  ................    519  Inadequate
                                                          Blocking and
                                                          Bracing
  120  Fusible Pressure  .....  ................    520  Inadequate
        Relief Device                                     Maintenance
        or Element.
  121  Gasket..........  .....  ................    521  Inadequate
                                                          Preparation
                                                          for
                                                          Transportation
  122  Gauging Device..  .....  ................    522  Inadequate
                                                          Procedures
  123  Heater Coil.....  .....  ................    523  Inadequate
                                                          Training
  124  High Level        .....  ................    524  Incompatible
        Sensor.                                           Product
  125  Hose............  .....  ................    525  Incorrectly
                                                          Sized
                                                          Component or
                                                          Device
  126  Hose Adaptor or   .....  ................    526  Loose Closure,
        Coupling.                                         Component, or
                                                          Device
  127  Inlet (Loading)   .....  ................    527  Misaligned
        Valve.                                            Material,
                                                          Component, or
                                                          Device
  128  Inner Packaging.  .....  ................    528  Missing
                                                          Component or
                                                          Device
  129  Inner Receptacle  .....  ................    529  Overfilled
  130  Lifting Feature.  .....  ................    530  Over-
                                                          pressurized
  131  Lifting Lug.....  .....  ................    531  Rollover
                                                          Accident
  132  Liner...........  .....  ................    532  Stub Sill
                                                          Separation
                                                          from Tank
                                                          (Tank Cars)
  133  Liquid Line.....  .....  ................    533  Threads Worn or
                                                          Cross Threaded
  134  Liquid Valve....  .....  ................    534  Too Much Weight
                                                          on Package
  135  Loading or        .....  ................    535  Valve Open
        Unloading Lines.
  136  Locking Bar.....  .....  ................    536  Vandalism
  137  Manway or Dome    .....  ................    537  Vehicular Crash
        Cover.                                            or Accident
                                                          Damage
  138  Mounting Studs..  .....  ................    538  Water Damage
  139  O-Ring or Seals.
  140  Outer Frame.....
  141  Piping or
        Fittings.
  142  Piping Shear
        Section.
  143  Pressure Relief
        Valve or
        Device--Non-
        Reclosing.
  144  Pressure Relief
        Valve or
        Device--Reclosi
        ng.
  145  Remote Control
        Device.
  146  Sample Line.....
  147  Stub Sill (Tank
        Car).
  148  Sump............
  149  Tank Head.......
  150  Tank Shell......
  151  Thermometer Well
  152  Threaded
        Connection.
  153  Vacuum Relief
        Valve.
  154  Valve Body......
  155  Valve Seat......
  156  Valve Spring....
  157  Valve Stem......
  158  Vapor Valve.....
  159  Vent............
  160  Washout.........
  161  Weld or Seam....
------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
               General non-bulk and IBCs                                        Cylinders
----------------------------------------------------------------------------------------------------------------
 Code                     What failed                     Code                     What failed
----------------------------------------------------------------------------------------------------------------
  103   Basic Material                                     111   Cylinder Neck or Shoulder
  104   Body                                               112   Cylinder Sidewall--Near Base

[[Page 67771]]

 
  105   Bolts or Nuts                                      113   Cylinder Sidewall--Other
  108   Chime                                              114   Cylinder Valve
  109   Closure (e.g., Cap, Top, or Plug)                  119   Frangible Disc
  110   Cover                                              120   Fusible Pressure Relief Device or Element
  119   Frangible Disc                                     122   Gauging Device
  120   Fusible Pressure Relief Device or Element          132   Liner
  121   Gasket                                             143   Pressure Relief Valve or Device--Non-Reclosing
  125   Hose                                               144   Pressure Relief Valve or Device--Reclosing
  128   Inner Packaging                                    161   Weld or Seam
  129   Inner Receptacle
  130   Lifting Feature                                   Code                      How Failed
  132   Liner                                              301   Abraded
  140   Outer Frame                                        303   Burst or Ruptured
  143   Pressure Relief Valve or Device--Non-Reclosing     304   Cracked
  144   Pressure Relief Valve or Device--Reclosing         306   Failed to Operate
  161   Weld or Seam                                       307   Gouged or Cut
                                                           308   Leaked
                                                           309   Punctured
                                                           313   Vented
 Code                      How Failed
  301   Abraded
  302   Bent
  303   Burst or Ruptured                                 Code                  Causes of Failure
  304   Cracked                                            501   Abrasion
  305   Crushed                                            502   Broken Component or Device
  306   Failed to Operate                                  503   Commodity Self-ignition
  307   Gouged or Cut                                      504   Commodity Polymerization
  308   Leaked                                             505   Conveyer or Material Handling Equipment Mishap
  309   Punctured                                          506   Corrosion--Exterior
  310   Ripped or Torn                                     507   Corrosion--Interior
  311   Structural                                         508   Defective Component or Device
  312   Torn Off or Damaged                                510   Deterioration or Aging
  313   Vented                                             512   Fire, Temperature, or Heat
                                                           513   Forklift Accident
                                                           514   Freezing
                                                           515   Human Error
                                                           516   Impact with Sharp or Protruding Object (e.g.,
                                                                  nails)
 Code                 Cause(s) of Failure
  501   Abrasion                                           517   Improper Preparation for Transportation
  503   Commodity Self-ignition                            519   Inadequate Blocking and Bracing
  504   Commodity Polymerization                           520   Inadequate Maintenance
  505   Conveyer or Material Handling Equipment Mishap     521   Inadequate Preparation for Transportation
  506   Corrosion--Exterior                                522   Inadequate Procedures
  507   Corrosion--Interior                                523   Inadequate Training
  508   Defective Component or Device                      524   Incompatible Product
  510   Deterioration or Aging                             525   Incorrectly Sized Component or Device
  511   Dropped                                            526   Loose Closure, Component, or Device
  513   Forklift Accident                                  527   Misaligned Material, Component, or Device
  514   Freezing                                           528   Missing Component or Device
  515   Human Error                                        529   Overfilled
  516   Impact with Sharp or Protruding Object (e.g.,      530   Over-pressurized
         nails)
  517   Improper Preparation for Transportation            535   Valve Open
  521   Inadequate Preparation for Transportation          536   Vandalism
  522   Inadequate Procedures                              537   Vehicular Crash or Accident Damage
  523   Inadequate Training
  529   Overfilled
  530   Overpressur[chyph]ized
  534   Too Much Weight on Package
  535   Valve Open
  536   Vandalism
  537   Vehicular Crash or Accident Damage
  538   Water Damage
----------------------------------------------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                     Portable tanks                        Bulk tank vehicles--cargo tank motor vehicles (CTMV)
--------------------------------------------------------                      and tank cars
                                                        --------------------------------------------------------
 Code                     What failed                     Code                     What failed
----------------------------------------------------------------------------------------------------------------
  105   Bolts or Nuts                                      101   Air Inlet
  106   Bottom Outlet Valve                                105   Bolts or Nuts
  107   Check Valve                                        106   Bottom Outlet Valve
  108   Chime                                              107   Check Valve
  109   Closure (e.g., Cap, Top, or Plug)                  110   Cover

[[Page 67772]]

 
  110   Cover                                              115   Discharge Valve or Coupling
  119   Frangible Disc                                     116   Excess Flow Valve
  120   Fusible Pressure Relief Device or Element          117   Fill Hole
  121   Gasket                                             118   Flange
  122   Gauging Device                                     119   Frangible Disc
  125   Hose                                               120   Fusible Pressure Relief Device or Element
  127   Inlet (Loading) Valve                              121   Gasket
  131   Lifting Lug                                        122   Gauging Device
  132   Liner                                              123   Heater Coil
  135   Loading or Unloading Lines                         124   High Level Sensor
  137   Manway or Dome Cover                               125   Hose
  140   Outer Frame                                        126   Hose Adaptor or Coupling
  141   Piping or Fittings                                 127   Inlet (Loading) Valve
  143   Pressure Relief Valve or Device--Non-Reclosing     131   Lifting Lug
  144   Pressure Relief Valve or Device--Reclosing         132   Liner
  152   Threaded Connection                                133   Liquid Line
  153   Vacuum Relief Valve                                134   Liquid Valve
  161   Weld or Seam                                       135   Loading or Unloading Lines
                                                           136   Locking Bar
                                                           137   Manway or Dome Cover
 Code                      How Failed                      138   Mounting Studs
  301   Abraded                                            139   O-Ring or Seals
  302   Bent                                               141   Piping or Fittings
  303   Burst or Ruptured                                  142   Piping Shear Section
  304   Cracked                                            143   Pressure Relief Valve or Device--Non-Reclosing
  305   Crushed                                            144   Pressure Relief Valve or Device--Reclosing
  306   Failed to Operate                                  145   Remote Control Device
  307   Gouged or Cut                                      146   Sample Line
  308   Leaked                                             147   Stub Sill (Tank Car)
  309   Punctured                                          148   Sump
  310   Ripped or Torn                                     149   Tank Head
  312   Torn Off or Damaged                                150   Tank Shell
  313   Vented                                             151   Thermometer Well
        ...............................................    152   Threaded Connection
 Code                 Cause(s) of Failure                  153   Vacuum Relief Valve
  501   Abrasion                                           154   Valve Body
  502   Broken Component or Device                         155   Valve Seat
  503   Commodity Self-ignition                            156   Valve Spring
  504   Commodity Polymerization                           157   Valve Stem
  505   Conveyer or Material Handling Equipment Mishap     158   Vapor Valve
  506   Corrosion--Exterior                                159   Vent
  507   Corrosion--Interior                                160   Washout
  508   Defective Component or Device                      161   Weld or Seam
  509   Derailment
  510   Deterioration or Aging                            Code                      How Failed
  511   Dropped                                            301   Abraded
  512   Fire, Temperature, or Heat                         302   Bent
  514   Freezing                                           303   Burst or Ruptured
  515   Human Error                                        304   Cracked
  517   Improper Preparation for Transportation            305   Crushed
  520   Inadequate Maintenance                             306   Failed to Operate
  521   Inadequate Preparation for Transportation          307   Gouged or Cut
  522   Inadequate Procedures                              308   Leaked
  523   Inadequate Training                                309   Punctured
  524   Incompatible Product                               310   Ripped or Torn
  525   Incorrectly Sized Component or Device              311   Structural
  526   Loose Closure, Component, or Device                312   Torn Off or Damaged
  527   Misaligned Material, Component, or Device          313   Vented
  528   Missing Component or Device
  529   Overfilled                                        Code   Cause(s) of Failure
  530   Overpressur[chyph]ized                             501   Abrasion
  531   Rollover Accident                                  502   Broken Component or Device
  536   Vandalism                                          503   Commodity Self-ignition
  537   Vehicular Crash or Accident Damage                 504   Commodity Polymerization
                                                           505   Conveyer or Material Handling Equipment Mishap
                                                           506   Corrosion--Exterior
                                                           507   Corrosion--Interior
                                                           508   Defective Component or Device
                                                           509   Derailment
                                                           510   Deterioration or Aging
                                                           511   Dropped
                                                           512   Fire, Temperature, or Heat

[[Page 67773]]

 
                                                           515   Human Error
                                                           517   Improper Preparation for Transportation
                                                           518   Inadequate Accident Damage Protection
                                                           519   Inadequate Blocking and Bracing
                                                           520   Inadequate Maintenance
                                                           521   Inadequate Preparation for Transportation
                                                           522   Inadequate Procedures
                                                           523   Inadequate Training
                                                           524   Incompatible Product
                                                           525   Incorrectly Sized Component or Device
                                                           526   Loose Closure, Component, or Device
                                                           527   Misaligned Material, Component, or Device
                                                           528   Missing Component or Device
                                                           529   Overfilled
                                                           530   Overpressur[chyph]ized
                                                           531   Rollover Accident
                                                           532   Stub Sill Separation from Tank (Tank Cars)
                                                           533   Threads Worn or Cross Threaded
                                                           536   Vandalism
                                                           537   Vehicular Crash or Accident Damage
----------------------------------------------------------------------------------------------------------------

[FR Doc. 03-29597 Filed 12-2-03; 8:45 am]
BILLING CODE 4910-60-P